) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and
functions are performed for any third parties or for the trustee, securities companies, commercial banks or financial institutions established under specific law, and shall include the person performing duty
institution established under specific law. Additionally, [the term of “authorized management person”] also means a person who is a member of a committee performing duty relevant to business management of
, regulatory changes, and technological advancements which affected consumer behavior. KASIKORNBANK has established business direction primarily by considering the balance of three dimensions – economy, society
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality and reliability enhancement of such business operator to protect investors. This means the
evaluation results, compared to 90 percent in 2019 and 93 percent in 2020. The strong determination of the heads of audit firms contributes to the ongoing enhancement of audit work quality of affiliated
Exchange Act in order to ensure that the enforcement of the law and the enhancement of the protection of investors in the capital market will be more effective and consistent with the suggestions received
The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a
Ruenvadee Suwanmongkol, Secretary-General of SEC, remarked: “The enhancement of shareholders’ rights and protections is SEC’s main mission. Scaling up the legal knowledge regarding securities and
enhancement of Thai ecosystem for transformation into digital economy and sustainable growth.” H.E. Brian Davidson, the British Ambassador to Thailand said “Financial services and, in particular, fintech