equivalence to that of the EU Member States , or iii. an independent audit regulator of a country that has been assessed under the Financia Stability Assessment Program (FSAP) and
Financia l Stability Assessment Program (FSAP) and earned the assessment results on the topic relating to auditing at least “broadly implemented" level 2.8.3 Approval Process
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board
at least three persons and at least one person must have adequate knowledge to review the reliability of financial statements. The scope of power and duties is clearly specified. Directors
shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management company shall propose an investment policy appropriate for the clients after an assessment of
shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management company shall propose an investment policy appropriate for the clients after an assessment of
Questionnaire) กระบวนการประเมินความเสี่ยงของสำนักงาน (The Firm's Risk Assessment Process) การกำกับดูแลและผู้นำ (Governance and Leadership) ข้อกำหนดด้านจรรยาบรรณที่เกี่ยวข้อง (Relevant Ethical Requirements) การตอบ
digital asset businesses A List of supplementary documents to the application for a license in undertaking digital asset businesses. A Form for IT and Cyber risk assessment for digital asset business
digital asset businesses A List of supplementary documents to the application for a license in undertaking digital asset businesses. A Form for IT and Cyber risk assessment for digital asset business