, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
on listed companies’ disclosure of material information, issuing investor warning messages, and/or posting trading signs to alert investors. For next steps, the SET is in the process of revising the
management, operational management and internal control system which at least shall contain: (a) the policy and measure in writing; (b) the determination and amendment of such policy and measure each time has
purchasing demands when the securities price is lower than the offering price, and if the securities price is higher than the offering price, the amount of securities eligible for trading may increase.” Remark
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
/1146pe.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 client’s assets
ระดบัเครือ่งมอืในกำรติดตำม ตรวจสอบ และหำพยำนหลักฐำน (e-enforcement) เพื่อช่วย เพิม่ประสทิธภิำพในกำรจัดกำรเคสในกำรบงัคบัใช้กฎหมำย คอื • โครงการ Digital asset trading https://www.sec.or.th/TH/Documents