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
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
large part consistent with the SEC’s Strategic Plan and policy since the SEC is a major driver of the Master Plan. In this past year, the SEC has been active in imposing rigorous supervision/enforcement
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
and Audit Oversight Mutual Fund Business Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure Trust Digital Asset Business Operators
able to express their opinion objectively as to whether the financial statements are faithfully represented. Through our oversight system, the Securities and Exchange Commission of Thailand (“SEC”) has
DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22
been closely monitoring the situations and collaborating with the SET to allow the SET to act and consider adjusting the existing measures to align with the current situations. For example, revising the