management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
an ICO portal would be repealed in order that the oversight of digital asset offering would be suitable for the risks associated with the digital assets to be offered;With regard to the supervision
SEC has prepared a questionnaire surveying preparedness toward the Personal Data Protection Act, B.E. 2562 in April 2020 for self-assessment of 276 organizations under its supervision. Based on the
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
investment decisions. Investor education, market discipline and stakeholder participation are also emphasized apart from supervision and enforcement.Mrs. Sirivipa Supantanet, SEC Assistant Secretary?General
inspection Has your firm been inspected quality control systems by the audit oversight authority? Yes No If yes, please provide us the latest results of the inspection 4. Audit Experience Have you ever
and adding oversight provisions related to the personnel in securities and derivatives businesses; (3) Supervision of Securities Market and Related Institutions: revising provisions related to the over
fintech supervision and oversight. This framework was similar to those CSSF agreed with capital-markets watchdogs of Australia, Dubai and the United of Arab Emirates. This new agreement has expanded the
related information, (2) revising the supervision of major shareholders of business operators under both laws so that it will be applied consistently, (3) reconciling the supervision of persons who work