regional regulators on new challenges that could have an impact on the balance between effective supervision and financial innovation.The seminar took place in Bangkok during 22 - 26 August 2016.

supervision and trustworthiness of listed companies? financial reporting. Vorapol Socatiyanurak, SEC Secretary-General said that ?Following the 2010 revamp of audit oversight to require SEC-registered auditors

auditors.? The Auditing Advisory Committee comprises both current audit practitioners and non-practitioners. Its major role is to render advice to the SEC regarding supervision and inspection of audit

Bangkok, January 21, 2016 ? The SEC is seeking public comments on draft amendments to the regulations concerning supervision on trigger funds and product advertisement.The proposed amendments to the

การณ์ของตลาดทุนในปัจจุบัน โดยได้จัดตั้งฝ่ายกำกับธุรกิจแนะนำการลงทุน (Investment Advice Supervision Department) เพื่อกำกับดูแลผู้ให้บริการด้านคำแนะนำและการขายหลักทรัพย์แก่ผู้ลงทุน ซึ่งเดิมเป็นหน้าที่และ

's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the

movements, KBank is closely monitoring the situation and assessing possible impacts, placing importance on efficient risk management under the supervision of the Risk Oversight Committee, Market Risk

management procedures to support business operations via each service channel in compliance with the new regulation. 6  Financial Institutions’ IT Risk Supervision The Bank of Thailand (BOT) issued

asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at https

://publish.sec.or.th/nrs/3453pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of