persons or a person acting on behalf of, or at the direction of, or an undertaking controlled by such persons; (3) inform the AMLO of such frozen assets; and (4) inform the AMLO of a customer or former
adds “digital asset investment advisor” and “digital asset fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to strengthen investor
/News_Detail.aspx?SECID=8253 SEC adds “digital asset investment advisor” and “digital asset fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to
/RoyalEnactment/enactment-digitalasset2018.pd... ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ derivatives fund managers being a financial institution regulated by other agencies; “ electronic data” means data
financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator
development of all-sector participation, both public and private. The cooperation under the MOAs includes monitoring and oversight of listed companies, issuing companies and regulated agencies under the SEC
SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators through the use of principle-based regulations due to the fact that business
companies: 1. Financial performance—Are they a financial outlier? 2. ESG ratings—How do they measure compared to their industry? 3. Ownership structure—How much do you own? Is it a controlled company, or how