The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements

สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) โดยนางสาวนภนวลพรรณ ภวสันต์ ผู้อำนวยการฝ่ายส่งเสริมเทคโนโลยีทางการเงิน ร่วมเสวนาหัวข้อ “What Roles does Regulator Play in Supporting Fintech

At the SEC Meets the Press session today, Secretary-General Pornanong Budsaratragoon shared her perspective and vision for leading the SEC organization after recently assuming office. “I have taken on a new role in a familiar organization and working environment, with the primary goal of leading the SEC as a regulatory agency that develops the capital market and supports economic growth. Under transparent and fair management in line with international standard good governance guidelines, we are...

servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter

policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to

, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under

staffs, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator

Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)

(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the

International Forum of Independent Audit Regulator (“IFIAR ”)? Yes No Is the audit oversight authority you registered with in the country that is recognised by the European Commission as equivalence country in