and Audit Oversight Mutual Fund Business Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure Trust Digital Asset Business Operators
closely monitoring the situation and assessing possible impacts, placing importance on efficient risk management under the supervision of the Risk Oversight Committee, 8 Market Risk Management Sub-committee
Office retains your personal data for the following purposes: Approving the establishment and management of funds, and granting approval for the issue and offer for sale of securities under the supervision
as follows: licensing and supervision of the activities of intermediaries, including fund managers and distributors; authorising funds and their offering documents to be offered to the public in Hong
companies from the Bank of Thailand; 2. Letters seeking legal opinion and invitation letters for seminars; 3. Research, risk monitoring from Bloomberg. ✓ 1.2 Sources of personal data The SEC Office receives
.................................................... 19 Disclosure and Transparency ..................................... 23 Board Practices and Company Oversight ................. 27 Findings Of The DCA
out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum
joint effort would help to increase enforcement efficiency and prevent the use of business operators under the SEC supervision as a channel for money laundering or facilitating terrorism. This by
hearing in March 2016 on the governing principles, which covered other key issues such as supervision of exchange, restructuring and mechanism of mutual fund supervision. ?This public hearing is another