duties of the Board of Directors to ensure control, oversight and monitoring of its performance with transparency and efficiency. Specify also the roles and duties of chairman and manager or the person
take the highest responsibility in Accounting and Finance, the person assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and
? competitive edge in the global financial market. On the business side, we are increasing collaboration and facilitation for new entries and offering new business models in line with the growing technology
collaboration and facilitation for new entries and offering new business models in line with the growing technology-driven landscape and changing consumers? behaviors. Locally, a major driving force that is the
regulator for Thai capital market, as evidenced by an endorsement from the European Commission (“EC”) given to the SEC in June 2013 to acknowledge the SEC’s audit oversight system as being equivalent to that
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
buildings, renewable energy and other sustainable projects, demonstrate the growing interest in sustainable finance by issuers and intermediaries throughout the region to finance development projects. This
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior
exchange risk management is under supervision of the Assets and Liabilities Management Sub-committee, with the goal of obtaining the highest returns under the risk limits approved by the Risk Oversight
; Pledging and revocation of pledging of securities. The supervision of clearing house and securities depository center in accordance to the oversight framework for the supervision of financial market