approved by the SEC Office to participate in a regulator sandbox. Clause 2 The provision of financial services under a regulatory sandbox of a person who is approved by the SEC Office under this Notification
the SEC Office to participate in a regulator sandbox. Clause 2 The provision of financial services under a regulatory sandbox of a person who is approved by the SEC Office under this Notification shall
ประเทศตน (home regulator) โดยมีตัวแทนขำยในไทย (local intermediary) ท ำหน้ำทีร่ับผิดชอบกำรซ้ือขำยหน่วยลงทุน และมีตัวแทน (local representative) ท ำหน้ำทีป่ระสำนงำน ด้ำนกำรเปิดเผยและจัดส่งข้อมูล เป็นต้น 1
สอบ NA ✓ ตามมาตรฐานท่ี lead regulator ยอมรับ ✓ ตามมาตรฐานท่ีใช้กับ กิจการท่ีมีส่วนได้เสีย สาธารณะ (PAE) 2. ไม่ค้างส่งรายงานต่อ สนง./SET ✓ ✓ 3. กรรมการ/ผู้บริหารมรีายชื่ออยู่ในระบบข้อมูลรายช่ือกรรมการ
plan or operation was not approved by the regulator of such financial institution or the Committee of the Financial Sector Restructuring Authority, or subject to an order to amend the financial loss
Scorecard 2013/2014.Moreover, the SEC has put a lot of efforts to uplift audit quality which has gain international recognition. This has been evidenced by International Forum of Independent Audit Regulator
International Forum of Independent Audit Regulator or IFIAR?s acceptance as a member showing that the SEC is independent from the professionals and auditor supervision in line with international practices. In
, opportunities and threats.As a capital market regulator and policymaker, the SEC has been promoting gender equality, diversity, women’s participation in board roles and the Women’s Empowerment Principles (WEPs
frameworks to drive innovation and further benefit for the public. Ms. Ruenvadee Suwanmongkol, Secretary-General of the SEC, states that the SEC, as the regulator for digital asset business operators, has