companies and derivative business operators take full ownership of the written BCM policy and enforce strict implementation of the BCM plan. In case of outsourcing business functions to service providers, the
be certified or registered and subject to inspection by relevant governmental agencies, strict supervision imposed on limited companies or public limited companies should not apply. This would allow
’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed; (8) Debt issuers must use the raised money to repay for the earlier
but also reduce partial costs for audit firms. But In any case, each first-time applicant is subject to the SEC’s strict audit work quality screening process in accordance with the international
cooperation is creating the synergy for investment governance culture in the capital market.SEC Secretary-General Rapee Sucharitakul said: ?It takes more than strict regulations to develop a sound capital
2016. Investment consultants must not abuse their duties to seek unfair benefits from investors no matter with or without clients? consent. In any case, the SEC takes strict action against all offenses
on corporate governance principles. This includes management of investment money, performance monitoring of target listed companies, preparation and disclosure of responsible investment policy, strict
audit firms in the capital market, requesting their cooperation in giving more importance to a strict audit quality control system with regard to protection of clients’ confidentiality. The SEC will
Decree on Digital Asset Businesses B.E. 2561 (2018) to ensure its sufficiency and suitability for the current circumstances, and to elevate cyber resilience and ensure strict compliance with