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
: 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
management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the
includes self-assessment under the standards of IOSCO (International Organization of Securities Commissions) to ensure that the Thai capital market supervision is in line with international standards
. Institutional investors will be a key driver to promote such implementation, while supervision of financial advisors will be strengthened on par with securities businesses in general. In addition, more emphasis
, 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
successful implementation of policies and strategic plans and compliance with international standards. International Organization of Securities Commissions (IOSCO) ASEAN Capital Markets Forum (ACMF
Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed
Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed
Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed subsequently to operate