& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders
Bangkok, 14 March 2021 – The Securities and Exchange Commission (SEC) has appointed Ms. Naovarat Chantavanich as Assistant Secretary-General – Internal Excellence Division, in charge of the Finance
MoU aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the international arena while
aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the international arena while https
the 20-year National Strategy amid the changing ecosystem.” According to the new corporate structure, there are two additional work divisions, namely (1) Digital Transformation and Internal
States) OrganizationStructure ensures that efficient internal control is in place and the SEC operation complies with corporate governance principles. Click here to see SEC organization chart
, customer service and information system, internal control system, and risk management system. In addition, related notifications will be codified into one document to facilitate the business operators
preparing high-quality financial reports;Organizing appropriate internal control system, quality internal audit unit, along with monitoring the efficiency and effectiveness of risk management within the
Microsoft PowerPoint - 9H!7-˙#0-ˆ˙#0-ˆ2#*H#2"2ˇCrowdfunding SEC Classification : ใชภ้ายใน (Internal) กระบวนการนำส่งข้อมูลอิเล็กทรอนิกส์ crowdfunding 1/42 SEC Classification : ใชภ้ายใน (Internal