company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with
sufficient systems for monitoring securities trading and other services provided to their customers so as to prevent the commission of offenses under such Acts.?
] laws, objectives or articles of corporation, and the resolutions of the board of directors or of the shareholders’ meeting; (b) breaching the law relating to the supervision of the capital market whether
ตลำดทุนทงัหมดและสร้ำงสภำพแวดลอ้ม ดิจิทลั ( digital ecosystem) การจดัให้มี https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/LawReform/RIA-TRUST.pdf PowerPoint Presentation . Supervision of Mutual
Capital Market Supervisory Board. SECTION 89/12 A https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/Act/act-sea2008-no4.pdf PowerPoint Presentation . Supervision of Mutual Fund Management and Fund
order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies - Inspection - Supervision of those https://www.sec.or.th/EN
+%22electrica... PowerPoint Presentation Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to