under supervision amounted to 16.2 million accounts, 21% more than last year. Personal loan receivable was 579,911 million baht, with the growth of 51% from the same period last year, due to include the
control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where there is a breach of the guideline. The course of action should be
) Authorises the head of operational and business unit to monitor and control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where
is revoked by the SEC Office, or where a securities company is part of a financial conglomerate with a shareholding structure, internal audit and supervision by other regulatory bodies as specified by
deceases, resigns, or whose approval is revoked by the SEC Office, or where a securities company is part of a financial conglomerate with a shareholding structure, internal audit and supervision by other
broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as prescribed and notified by the SEC Office, the SEC
revoked; or in the case that the derivatives broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as
to disclose information related to the arrangement of reserves in a manner that is accessible to the public; and (3) mutual fund supervision will primarily take into account unitholders’ benefits, with