& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit firms in the capital market, and regularly inspects and issues inspection
control unit having duty to monitor internal control system to ensure check and balance mechanism and prevent fraud and embezzlement and (3) investor relations unit having duty to enable effective two- way
Bangkok, January 22, 2014 ? Following the acquisition of control over Electronics Industry Public Company Limited (EIC) by Bee Taechaubol and Thai Prime Co.Ltd., where the tender offer for all EIC
The Securities and Exchange Commission (SEC), in collaboration with the Information Systems Audit and Control Association – Bangkok Chapter (ISACA Bangkok Chapter), co‑hosted a workshop for the
Section 176 of the Organic Act on Anti-Corruption B.E. 2561 (2018). Such efforts will be implemented through appropriate internal control mechanisms and by promoting good corporate governance among
set up and manage mutual funds. SEC has developed a system and revise the regulations for submission to set up and manage mutual funds with a filing via electronics system: the Online Fund Approval and
but offering return to outpace increase in product and service prices; accordingly, suit the retirees having limited investment knowledge or favoring financial experts to manage their money. In Thailand
common control with another entity. performs analytical functions that are necessary for the issuing or monitoring of a credit rating or participates in determining credit ratings, including an employee