that the capital market will be developed toward sustainable growth and generate positive impacts on the national economy. At present, there are six legislations administered by the SEC, namely: the
. 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
growth of the company by providing opportunity for directors and employee to take part in the ownership of the business. Positive gains of the company will also benefit the shareholders. However, the
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
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