of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of

.?Business operators will be allowed to outsource activities, for instance, risk management, internal audit and control, information technology management, etc. Some important or expertise activities, will be

, and appropriate internal supervision system. Moreover, the systems must be compatible with the additional technology apart from the regulations in standard criteria for conducting business. The

Global Internal Audit and Compliance, Banpu Pcl.4. Dr. Charika Channuntapipat, Research Fellow, Business and Sustainable Development, TDRI

Following the earlier public hearing in late March, where the majority of business providers had expressed their approvals towards the guideline suggested by SEC. Therefore, SEC had then proposed a

Bangkok, 14 March 2021 – The Securities and Exchange Commission (SEC) has appointed Ms. Naovarat Chantavanich as Assistant Secretary-General – Internal Excellence Division, in charge of the Finance

diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in

company?s business which was deemed as material information for investors? decision-making. He also failed to review the information on compensation paid to two directors of issuing company, resulting in

, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under

staffs, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator