Instruments (No. 11) dated 25 October 2006; (3) Clause 3 and Clause 4 of the Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of
Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of the Operation of Securities Underwriting dated 25 October 2006; (4) Clause 2(1
25 October 2006; (3) Clause 3 and Clause 4 of the Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of the Operation of
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
) 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
benefits of the capital market. Expectations include: Provide opportunities for businesses to operate independently with an effective supervision system in place to ensure an orderly market; Be
causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
supervision of corporate finance, corporate governance, market and securities businesses.Mrs. Supantanet, who was appointed Assistant Secretary-General in 2016, oversees the line of work related to fund
Secretary-General in charge of law and enforcement as member;(4) Assistant Secretary-General in charge of listed company supervision as member; (5) Assistant Secretary-General in charge of law