or cease innovations but should study and learn from them closely for the best management of risks, particularly systematic risks. Therefore, consumer protection policy can be set properly and
Subcommittee whose major role is to study and propose guidelines for building market competitive edge and promoting all stakeholders’ capacities. The Subcommittee’s objectives include promoting the public’s
not be in breach of LTF and RMF criteria. In all cases, investors should seek full information of the products and study it carefully before making an investment transaction via any platform, mobile
the market regulator and ASCO as a number of potential listed firms would become virtually invisible to investing public. ASCO agreed to further conducting study to tackle with the concern and was of
; (2.8) อื่น ๆ 15.45 – 16.30 Case study ประเด็นที่ได้จากการตรวจสอบ
personnel involved in the operation of the fund to ensure that they have suitable knowledge and capability for the administration and management of the fund; (2) the analysis and feasibility study on the
the fund ; (2) the analysis and feasibility study on the establishment of the fund , including due diligence on the infrastructure asset to be acquired, and the disclosure of accurate and sufficient
/Percentage) Remarks: besides application fee, an applicant should be responsible for expenses incurred from the SEC Official visit to examine working paper and audit quality control system of the audit firm
efficiency of frameworks for monitoring and analyzing systemic risk to examine circumstances and detect weaknesses promptly and prevent severe effects on the overall capital market. In addition, SEC engages