the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4) being able to show that person who is or will be director
system Holding a lecture on Governance, Risk Management and Compliance (GRC) for executives Launching the “KBank Honest People” campaign to promote a culture of integrity in the workplace, in adherence
, as a regulated financial institution, is awaiting the clarification of the forthcoming Bank of Thailand’s notification in order to perform in compliance with the mandatory guidelines. Corporate
practice standards for securities companiesû compliance officers ● Drafted directorûs handbook for securities companies ● Drafted directorûs handbook for listed companies ● Supported the project to evaluate
fair and orderly markets, ensure regulatory convergence with international standards and improve efficiency of information disclosure of securities issuers in compliance with good corporate governance
results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing, the Code of Ethics for Professional Accountants, and the
inspection, scope of inspection, summary of the inspection results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing
asset exchange and digital asset broker, starting from 2 February 2024. In addition, during the suspension, Zipmex is required to: (1) Rectify its financial condition to ensure compliance with the fund
the clients do not claim their assets, Zipmex must deposit them in a trusted and secure system to protect the clients’ interests. Due to its failure to maintain net capital in compliance with the