agencies for mutual funds, securities registrars; 6. Head Front/Investment (deputy managers or equivalent positions/assistant managers or equivalent positions/ departmental directors or equivalent positions
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
SHARE : SEC enhances real estate-backed ICO oversight to strengthen investor protection mechanisms Wednesday 24 February 2021 | No. 36 / 2021 Bangkok, 24 February 2021 – The Securities and Exchange
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
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
Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection
the supervision (positively listed). 2. The amendments to the regulatory principles for the issuance and offering of digital assets in the primary market. Under the proposed principles related to the
Board Experiences Head of the Banking and Finance Department and Chair of the Committee of Master of Science Program in Corporate Governance, Faculty of Commerce and Accountancy, Chulalongkorn
Audit Oversight Supporting Accounting Profession to be in line with International Standards Auditor Supervision Monitoring on Financial Report of Business in Capital Market Related Web Links Mutual Fund