risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
) Authorises the head of operational and business unit to monitor and control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where
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
clearly define the roles and responsibilities of management and monitor management’s proper performance of its duties. * The board should demonstrate a thorough understanding of the division of board and
(United States) meetings more easily and promote the exercise of voting rights to control , monitor and participate in the decision making on important matters. UPDATE: At present, the Emergency Decree on
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Department 5. Ms. Oratai Nimtavorn acting Director, Investment Management Supervision and Inspection Department 6. Mrs. Namtip Synsukpermpoon acting Director, Securities Regulation Department 27. Mr. Chatchai
operators.The draft revision aims to accommodate supervision of agricultural futures business operators and comply with the changing financial reporting standards. It also amends certain disclosure requirements
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
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with