products in the capital market, investment management, or branch management of the applicant; (c) work related to control, supervision and management of business units concerning operation, compliance
-operation and the Exchange of Information (IOSCO MMoU), which helps to enhance preventive and deterrence measures of illegal practices in securities and derivatives markets. - enforcement authority and
-operation and the Exchange of Information (IOSCO MMoU), which helps to enhance preventive and deterrence measures of illegal practices in securities and derivatives markets. - enforcement authority and
or evidence for submitting a complaint. 3. Complaints that are not related to day-to-day operation, for instance, business judgment, issues relating to staff or internal operation. 4. Complaints that
Project conducted in partnership with various market stakeholders, governmental agencies, private entities, and the Anti Online Scam Operation Center (AOC) under the Ministry of Digital Economy and
Supervisory Board No. Tor Thor. 31/2559 Re: Rules for Operation of Derivatives Clearing Houses By virtue of Section 76, Paragraph 3 of Section 82 and Paragraph 2 of Section 83, in conjunction with Section 34(2
market; the SEC must ensure transparency, fairness, and the integrity of its own operation. Complying with corporate governance (CG) practices, therefore, is one of the key obligations to which the SEC has
อยกวา 25 ลานบาท 2. การเปลี่ยนแปลงระดับ early warning สําหรับบริษัทหลักทรัพยและกําหนดระดบั early warning สําหรับผูไดรับใบอนุญาตเปนตวัแทนซื้อขายสัญญาฯ 2.1 กรณีบริษัทหลักทรัพย แกไขระดับ early
and procedure as stipulated by the Notification of the SEC Office. An application submitting under Paragraph 1 shall be jointly prepared by a financial advisor whose name appears on the SEC Office’s
of an Application Form and Procedure for Applying for a License in Undertaking Digital Asset Businesses under the Notification of the Ministry of Finance regarding Licensing of digital asset businesses