Company and Lead Appraiser Contributing (Asset Evaluation) for Capital Market Transaction (codified). Related Forms Application for Approval of Appraisal Company for Capital Market Transactions (AP-1
, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business, etc. There are two types of administrative actions taken by the SEC Office
. 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
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
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
Questionnaire) กระบวนการประเมินความเสี่ยงของสำนักงาน (The Firm's Risk Assessment Process) การกำกับดูแลและผู้นำ (Governance and Leadership) ข้อกำหนดด้านจรรยาบรรณที่เกี่ยวข้อง (Relevant Ethical Requirements) การตอบ
are, such as, Risk factors Type of operation Capital structure Management structure Related transaction Evaluation report of the internal control system by Internal Auditor (IA) Management Discussion
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