, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification
decision on appropriate forms of alliance with foreign counterparts to support future trading linkage;2. Supervision of Securities Business: Licensing provisions would be amended to grant the Securities and
challenges and issues. The meeting was followed by the 8th AARG Inspection Workshop on 17-18 June 2021 to exchange knowledge and experience in audit supervision undertakings among the AARG member countries and
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
/Investment Analyst Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Cross-border Offering of Funds Business Operators Registered Persons Investment Consultant Fund
/Investment Analyst Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Cross-border Offering of Funds Business Operators Registered Persons Investment Consultant Fund
on the topic, “A New Age of Fundraising,” emphasizing the role of SEC in creating opportunities for businesses of all sizes to access sources of fund, while the disclosure-based supervision will not
application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand
” hosted by the Public Company Accounting Oversight Board (“PCAOB”), to keep abreast of the evolution of auditor supervision in the international level and apply it to improve Thailand’s audit regulatory
written investment governance policy, (4) making informed investment decisions and monitoring investee companies regularly, (5) escalating monitoring of and engagement with the investee companies in case of