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
account the CRA registration and oversight programs implemented by IOSCO members. A-4 Like the IOSCO CRA Principles, the IOSCO CRA Code is also intended to be useful to all types of CRAs relying on a
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qualifications and smart contracts by SEC-approved ICO portals; (3) There might not be enough necessary information disclosed for investors.(4) These is no business operators under SEC supervision allowed
the competition, align and enhance the supervision of alike activities, and provide investors with proper protection. SEC therefore invites public to submit their comments on the proposed amendment
financial institutions, e.g. IASB, FASB Financial Accounting, TCFD and ESG 23 1. Board oversight of climate-related risks & opportunities 2. Management role in assessing climate- related risks & opportunities
counterbalance; Monitoring of transactions that occur; Frequent revision of the appropriateness of the methods used. Competitive businesses Clear separation of target group of customers or markets; There
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Department 5. Ms. Oratai Nimtavorn acting Director, Investment Management Supervision and Inspection Department 6. Mrs. Namtip Synsukpermpoon acting Director, Securities Regulation Department 27. Mr. Chatchai