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
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/select?q=electronic possession OR "electronic possession" OR "electrical ownership" OR "electrical control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field
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order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the Capital Market Supervisory Board shall have the power to specify in its
control system; (2) reviewing the financial report and financial information of the Office; (3) coordinating with the Office of the Auditor General of Thailand in the matter of auditing the financial
Division 2: Supervision and Control of this Chapter, in whole or in part. The SEC shall also have the power to issue regulations or conditions for the license holder in the first paragraph to comply with
with integrity and prudence as a professional with expertise by providing fair treatment to beneficiaries. In furtherance of the performance of the trustee’s duty under the first paragraph, the SEC shall