monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities

cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given

will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities

governance frame- work. For instance, in Asia the prevalence of controlling shareholders might require more focus on independence of the board to monitor the management and effective protection of minority

regulations ë Monitor submission of reporting requirements and information disclosure to assure a sound financial condition and capital adequacy according to rules and regulations ë Conduct routine inspection

intermediaries and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN

and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN/Pages

oversee the governance of banks and other lending institutions. They are active in using this authority, screening who may be a director, senior manager, 5 percent or more shareholder, or auditor of a bank

://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7038 SEC Thailand’s Public Hearing on Regulatory and Supervision of Digital Asset Advisory Service and Digital Asset Fund Manager https://www.sec.or.th/EN/Pages

Digital Asset Fund Manager https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=579 SEC adds “ digital asset investment advisor” and “ digital asset fund manager” as new regulated businesses and amends