supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting
mobilization, corporate monitoring and accounting supervision. Prior to joining the SEC in 1992, she was an analyst at the Bank of Thailand.The SEC's new line of commands effective from 11 February 2019 is
monitoring and coordinating with the business operators, we have found that they have implemented their BCP to manage possible impacts of COVID-19 and opened an alternative site or installed remote working
and underwriting of investment units and securities borrowing and lending. This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is
Monitoring on Financial Report of Business in Capital Market Related Web Links SHARE : For More Information ContactUs Audit Oversight Department Tel. +66-2263-6097 / +66-2263-6096 Financial Reporting
. · Backup and IT Contingency Plan. · Computer Operation. · IT Outsourcing. 3. Compliance of policy. · Announcing and communicating to concerned person thoroughly for the purpose of compliance such as training
compliance such as training etc. [M] o Providing an oversee system the operation of officer under the policy strictly [M] (Translation) -3- o providing an inspection and assessment of the sufficiency of policy
are different from REIT regulations. For example, the real estate-backed ICO currently lacks a mechanism for monitoring and overseeing the management of assets and for protecting the interest of
business operation. Meanwhile, Senior Management ensures that policies, processes and systems for controlling, monitoring and reporting risks and capital are in place whereas segregation of duties and
Board meetings based upon good governance principles. This includes the monitoring of actions taken according to Board resolutions and orders. Notes: * It is customary for the Minister of Finance, as the