) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and

(1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and enforce the

assets, SEC must closely monitor and supervise digital asset businesses and educate investors so that they become knowledgeable and capable of managing their own risks,” added the Finance Minister . Mr

supervise and develop the Thai capital market with the mission to assure a conducive environment for a fair, trustworthy, efficient, dynamic, and inclusive capital market. The SEC collaborates with relevant

agreement in Clause 6 within five business days as from the date of receiving such information and certification. Clause 11. Securities company shall supervise its personnel to comply with this Notification

appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance

appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance

appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance

in Clause 7(1); (2) as soon as possible in case of information as prescribed in Clause 7(2). 4 Clause 11 A securities company shall supervise its personnel to comply with this Notification, and

in Clause 7(1); (2) as soon as possible in case of information as prescribed in Clause 7(2). 4 Clause 11 A securities company shall supervise its personnel to comply with this Notification, and