://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-secact.doc ACT-SEA1992-AMENDED.PDF Committee. SECTION 14/2.4 The Audit Committee shall have the following powers and duties: (1) re-examining and
orders; and (6) To require that securities companies establish a work system for post-trade monitoring and examining clients’ executed trading transactions through random inspections of potentially
application, a website application for examining the financial health of your retirement fund plan.Furthermore, SEC also held a seminar “SEC Caravan, Knowledge on Capital Market for the Chiang Mai People
executives with prohibited characteristics, (4) putting in place issuer due diligence and product screening systems, (5) examining issuers? business plans and the source codes of smart contract, (6) conducting
securities issuing company or listed company under the SEA.In addition, the SEC is examining other issues of public and stakeholders? complaints regarding whether the duty performance of current and former
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the Office 17. Circular 13/2544 22/02/2001 Report/Form (Notification of Securities and Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will
loans provided by clients, as well as, failing to discharge the duty properly as a manager in supervising and examining the staff's conduct to ensure the compliance with laws and regulations, in violation