| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of

& 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

year;             (3) To adjust security measures to be commensurate with the risks of small business operators by, for example, reducing the penetration testing frequency, increasing access control

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

regulations may be relaxed in case holding company is deemed to have control over the businesses according to accounting standards or is restricted by law or public joint venture. The amendment aims to