the Office, whose main objective is to promote and develop securities businesses in the category of investment management; “Customer” means any person who authorizes a management company to manage a
. The attendance list is shown on page 14. Policy and Implementation 1. Corporate Governance Policy Established upon the enactment of the SEC Act, the SEC has the duty to promote, develop and supervise
Securities and Exchange Act B.E. 2535, with a mission to develop and supervise the Thai Capital Market to ensure efficiency, fairness, transparency, and integrity. In order to maintain fairness in the Capital
about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai capital market to become the essential mechanism driving sustainable economy and determined to perform that
statements, joint-operation and share based payment, for example. 07 Summary Audit Inspection Results A. Firm Level Big-4 firms International firms Local firms Total 4 4 19 27 111 14 72 197 Category of audit
therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide
, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and related businesses, organizations related to securities business
have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and
supervise and ensure fair treatment for retail and SME customers will pose a heightened challenge to banking performance. To cope with these issues, commercial banks may have to fine-tune their strategies
) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and