In October 2024, the SEC conducted a hearing to gather comments from the public and stakeholders on the draft amendments to the IT Regulation and Guideline. Feedback and suggestions from stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows: (1) To adjust the frequency of submitting IT audit reports to be more appropriate for the risk level of small business operators and low-risk op...
The Securities and Exchange Commission (SEC) organized the Compliance Relations 2024 Event with asset management companies and limited brokers, dealers and underwriters (LBDU), including banks, insurance companies and investment unit brokers. Under the theme, "Together Towards Tomorrow," the event aimed to foster stronger relationships, exchange experiences, and share knowledge on regulatory guidelines in the investment management industry. This initiative seeks to enhance collaboration, benefit...
adds “digital asset investment advisor” and “digital asset fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to strengthen investor
strengthen investor protection Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and
governance also providesthe structure through which the objectives of the company are set, and the means of attaining those objectives and monitoring performance are determined” . (จาก G20 / OECD Principles
application to provide more convenient payment methods to its customers. The system will widen and strengthen the service line-up of credit card business of ASB Cambodia. Value of consideration: Name, position