, had generally neglected supervision and surveillance of AEC?s core work systems and failed to amend and rectify even though they had been informed of the company?s inspection results and reports from
supervision and surveillance. In addition, all activities are subject to checks and balances as well as examination in a timely and appropriate manner. Another major mission that has become a national agenda
the SEC team. On this occasion, SEC Assistant Secretary-General Jomkwan Kongsakul and the SEC team will visit Mr. Claude Marx, Director-General of the Commission de Surveillance du Secteur Financier
landscape of the capital market. In 2019, the SEC initiated to revisit the whole legislative structure regarding the supervision of auditing professions in Thailand for the first time to enhance the
needs. As such, intended outcomes from the supervision and development of the Thai capital market will be achieved. Rapee Sucharitakul, SEC Secretary-General said that the SEC Board has approved the
2012 16. Securities and Exchange Commission Office Lao PDR 29 June 2011 9 March 2014 17. Commission de Surveillance du Secteur Financier (CSSF) Luxembourg 28 November 2012 7 June 2021 (Information
surveillance system that was not circumspect enough to warn Bitkub to immediately realize a transaction that might be a price manipulation. DAB Act S.30 Settlement Committee Meeting No. 7/2021 Settlement
Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading