implementation with company boards of directors, executives and major shareholders. Institutional investors will be a key driver to promote such implementation, while supervision of financial advisors will be
includes self-assessment under the standards of IOSCO (International Organization of Securities Commissions) to ensure that the Thai capital market supervision is in line with international standards
ive (AIFMD) In addition, the SEC has also entered into Memorandum of Understanding (MOUs) concerning consultation, cooperation, and the exchange of information related to the supervision of
, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
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supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the
, control and supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or
, control and supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or
scope of rules and regulations which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management