can be submitted to the SEC before the filing the original application for approval 4. Submit activity reports on wealth advisory operation (particularly item 4.1) to the SEC, so that the SEC can use to
can be submitted to the SEC before the filing the original application for approval 4. Submit activity reports on wealth advisory operation (particularly item 4.1) to the SEC, so that the SEC can use to
a project or economic activity. Its first version was published in November 2021 and came along the second version in March 2023. The ASEAN Taxonomy is meant to serve as an overarching guide to
the SEC Office. Work Areas Personal Data Contact Information Sensitive Data Qualification data Financial Data Verification Data Information concerning the supervision of ThaiBMA (report on trading of
/2020 sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020 http
, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of
knowledge of the audit market environment and practical experience of independent audit regulatory activity; To promote collaboration in regulatory activity; and To provide a focus for contacts with other
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
scope’ but could be updated in the future if there is sufficient data, and these activities are not classified as red activity. Thailand Taxonomy Board How to read and use traffic lights criteria and
: For More Information ContactUs Investment Management Supervision Department Tel. +66-2263-6076 Intermediaries Supervision Department Tel. +66-2263-6536 Was this page helpful? Yes No Comment