out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum
monitoring listed companies? performance, the SEC did not grant further extension of deadlines for AIE and AI as requested. In this regard, AIE and AI must submit the said financial statements urgently. For
Department and the Corporate Monitoring Department have been merged to be in charge of fully-fledged supervision of listed companies, while the Fin Tech Department is the center of digital asset-related
SEC Secretary-General Ruenvadee Suwanmongkol said: “SEC has been monitoring the corporate bond market on a continuous basis. There are many policy issues to address properly. For example, corporate
monitoring the business operations and for a proper investment making-decision in a reasonable period of time. In addition, SEC has issued a guideline on information disclosure for listed companies
Prevention and Development Division and Market Intermediaries Division. 1.1 Prevention and Development Division comprises Corporate Monitoring Department, Financial Literacy Department and Corporate
, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse
’ approval. Additionally, there are changes in directors and management, and revisions to its internal work systems, with an external consulting firm monitoring and reviewing financial transactions of PDITL
companies. Additionally, the TLCA serves as a representative for listed companies in coordinating and monitoring the amendments to various regulations issued by regulators. This is to ensure that listed