first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to
supervision and surveillance. In addition, all activities are subject to checks and balances as well as examination in a timely and appropriate manner. Another major mission that has become a national agenda
as follows: licensing and supervision of the activities of intermediaries, including fund managers and distributors; authorising funds and their offering documents to be offered to the public in Hong
of interest and equitable treatment of stakeholders; and Board Practices , for instance, setting of directions, policies, goals and strategies, supervision and monitoring of the SEC's operation, and
term collaboration with World Bank to further strengthen audit oversight practices in the region.Audits play a crucial role in upholding the reliability of financial statements and investors? confidence
sufficiency to ensure work efficiency, including monitoring and supervision of the subsidiaries to prevent exploitation of asset owned by the Company or subsidiaries resulted from misconducts of the Company’s
Sector Assessment Program (FSAP) in 2007. While the roadmap to securities business liberalization progresses along its path, so will the market supervision and development. We truly hope to see further
The MOU reaffirms mutual intention to promote and support provision of pools of knowledge for listed companies and regulated entities under the SEC supervision to enhance their awareness of the
.? [The average scores range from 5 (the lowest) to 1 (the highest)]. Major issues found among the inspected audit firms included non-compliance with auditing standards and inefficient work monitoring
leading to lower operating costs. Additionally, the SEC will use RegTech for a better regulatory supervision and place high importance on cyber resilience. Strategy Two: To promote the Thai capital market