through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so
exemption from the requirement of independent director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level
providers, to be able to operate their businesses with more liquidity and effectiveness. The regulations also help business providers to dedicate their resources into excellent and appropriate goods and
delivering an excellent customer experience in order to empower every customer’s life and business, we prioritize the offering of attentive and inclusive services as a trustworthy service provider. We can
, Price Waterhouse Co., Ltd. Member, Board of Governors, Stock Exchange of Thailand Academic Member, Accounting Profession Supervision Council, Ministry of Commerce 5 In de pe nd en t Au di t In sp ec ti on
opportunities, enhancing competitiveness, and building market infrastructures for the digital age. ?The SEC is becoming an adaptive regulator for the future of data-driven supervision whereby responses to change
Market and create confidence for investors, the SEC closely monitors and inspects individuals and entities under its supervision. To ensure investors have adequate protection and receive accurate and