efficiently. Essentially, the proposed revisions cover the following key domains:(1) Establish multiple levels of expected security controls and oversight techniques that apply differently to licensed
+%22electrica... PowerPoint Presentation Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to
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
SEC Secretary-General Pornanong Budsaratragoon said: “The SEC focuses on both the development of the digital asset market and the supervision of digital asset business operators. We consider the
The SEC?s new appointments are as follows: Name of Executives New Assignment 1. Mrs.Paralee Sukonthaman 1/ Director, Enforcement Department Director, Broker-Dealer Supervision
duties of the Board of Directors to ensure control, oversight and monitoring of its performance with transparency and efficiency. Specify also the roles and duties of chairman and manager or the person
governance structure and material facts related to the board, 23 subcommittees, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and
invest in such products should proceed with extra caution since:(1) The product above has not been screened with regard to its qualifications and smart contracts by SEC-approved ICO portals; (2
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re