purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
ตรวจสอบไดค้รบถว้น และเสนอรายงานต่อคณะกรรมการของผูป้ระกอบธุรกิจไดท้นัรอบการประชุมของคณะกรรมการ ซ่ึงมีค่อนขา้งจ ากดั 1.2 การขยายกรอบระยะเวลาการแจง้การแต่งตั้งและการส้ินสุดการแต่งตั้ง head of compliance ให
supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “financial institution” means a financial institution under the Interest on
) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant □ A commercial bank under the
(English) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant
– The SEC is seeking public comments on the proposed amendments to the rules and guidelines for supervising digital asset businesses and ICO portals to better meet the current industry ecosystem and
followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply https://publish.sec.or.th/nrs/8264p.doc 6564p.doc
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
Presently, supervising “digital asset businesses” under the royal decree on digital asset businesses, B.E. 2561 cover three business groups: digital asset exchange; digital asset broker; and