offering digital asset advisory service and/or acting as digital asset fund manager to provide alternative investment choices for investors, but also support careful monitoring of persons giving advisory
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this Notification, the anti-money laundering legislations
ทีเ่กีย่วขอ้ง SEC Open data services E-enforcement • Corporate surveillance system - ความสมัพนัธบ์คุคล / นติบิคุคล - Fraud • AI-enforcement - พฤตกิรรมสรา้งราคา - พฤตกิรรมผดิปกติ • Off-site monitoring: - ผปก
new chapter on institutional investors (considering the prevalence of concentrated ownership in Asia). It was suggested that the Asian Roundtable might next address the role of stock exchanges in
information control: Specify whether, and how, the REIT Manager has a policy and method for monitoring the use of inside information for directors’, executives’, or other relevant parties who might by chance
://publish.sec.or.th/nrs/6564p.doc monitoring.doc Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures