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

a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business

control in the subsidiaries operating the core businesses and other oversight guidelines for activities such as approval of increase or decrease of capital and dissolution of subsidiaries, etc. In case of a

SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with

SEC has prepared a questionnaire surveying preparedness toward the Personal Data Protection Act, B.E. 2562 in April 2020 for self-assessment of 276 organizations under its supervision. Based on the

Earlier on 5 August 2021, the SEC Board Meeting No. 14/2564 approved the proposal for amending the regulations related to supervision of digital asset business operators whereby digital asset

violations. In following this manual, if any wrongdoings are found, the business operators are encouraged to report the cases to the SEC and verify that sufficient risk management and control systems have

+property+OR+%22electronic+property%22+OR+%22electrica... SEC Search /solr/secweb/select?q=electronic possession OR "electronic possession" OR " electrical ownership" OR " electrical control" OR "digital

the United States, including investors’ access to bitcoin investment through exchange traded funds and bitcoin custody under the supervision of US regulator. In Thailand, under the Emergency Decree on

Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to undertake in a different manner from