means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
operations. Directors, executives, and employees, as well as related parties of the agencies under supervision, whereby the SEC Office has supervised and inspected the risks related to their business
terms of sales of the company. Moreover, due to the lock down alleviation policy Jaymart Mobile is expected to open all branches since 17 May onwards. During the closing of the branches, Jaymart Mobile
has arranged an efficient disclosure system to ensure that the material information on REIT has been disclosed correctly and completely, and REIT manager has supervised the compliance with such
standards; and importance given to the root cause analysis process, remedial plan, and the follow-up on alleviation of deficiencies by prioritizing and timely remedying deficiencies. Furthermore, the SEC
Changes in Computer Systems relating to Trading Services with respect to Derivatives __________________ Clause 27 To ensure that the overall business operation of a derivatives exchange is supervised in an
Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...
Settlement Services with respect to Derivatives __________________ Clause 38 To ensure that the overall business operation of derivatives clearing houses is supervised in an orderly, effective, and timely
supervised by the SFC). The Securities and Exchange Commission, Thailand 333/3, Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900, Thailand Website: www.sec.or.th Email: mrfhongkong@sec.or.th Page 11