Engagements) (1) (1) 4 (Human Resources) ( ) ( ) 5 (Engagement Performance) (2) ( ) 6 (Monitoring) (1) (2) 100 .20 65 2 KPMG KPMG AQIs 2 KPMG KPMG 2 KPMG KPMG KPMG KPMG KPMG KPMG KPMG KPMG 108 31 2564 5.60
) 4 (Human Resources) ( ) ( ) 5 (Engagement Performance) (2) ( ) 6 (Monitoring) (1) (2) 100 .20 85 2 EY data analytic tools EY EY EY EY EY EY EY EY EY 211 30 2564 6.41 35 EY 3 3 1 (Leadership
and risks of organizations that will link their systems to ours. Duties and responsibilities are clearly defined in the contract entered into with those organizations, while risk-monitoring measures
PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management
On 15 June 2023, the SEC took part in the MMoU/EMMoU Monitoring Group meeting, in which IOSCO members’ information sharing and assistance under the MMoU/EMMoU framework was reported, and made an
monitoring and coordinating with the business operators, we have found that they have implemented their BCP to manage possible impacts of COVID-19 and opened an alternative site or installed remote working
and underwriting of investment units and securities borrowing and lending. This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is
management, designation, control, and supervision of policies of an applicant ; (b) duties concerning control, supervision, and administration of business units: investment consultation, investment planning
, control, and supervision of policies of an applicant; (b) duties concerning control, supervision, and administration of business units: investment consultation, investment planning, investment or capital