succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal

การขายชอร์ตและการส่งมอบหลักทรัพย์ เพื่อการบริหารความเสี่ยงจากการทำหน้าที่เป็นผู้ดูแลสภาพคล่อง (market maker)ของบริษัทหลักทรัพย์ และการจัดการทรัพย์สินลูกค้าเมื่อเกิด internal short

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

internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel

case of inspection by an internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the

Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks

1. Ms. Sucha Boonyanate, currently Assistant Secretary-General for the Legal Division, will serve as Deputy Secretary-General overseeing the Fundraising Division and the Accounting Supervision and

1. Ms. Nataya Niyamanusorn, Assistant Secretary-General in charge of the Investment Management Division, has been appointed Assistant Secretary-General in charge of the Intermediaries and Market

Prevention and Development Division and Market Intermediaries Division.         1.1 Prevention and Development Division comprises Corporate Monitoring Department, Financial Literacy Department and Corporate

funds; (3) “ infrastructure asset ” means: (a) the https://publish.sec.or.th/nrs/5883pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed