the audit quality control system, and closely monitored the COVID-19 pandemic situation to adjust the oversight approach and communication with stakeholders to meet the changing situation. In so doing

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

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

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

://www.sec.or.th/TH/Documents/AboutUs/KeyPerformance-2561.pdf English (United States) CMSB waratchya affairs, strategies; and currently overseeing policy and supervision of intermediaries, asset management

provide effective oversight and investigative capacity which will need to be appropriately funded. The ability to attract staff on competitive terms will enhance the quality and independence of supervision

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will invest in digital assets and to be aware that the supervision and regulation thereof by government agencies can partially reduce risks, such as the risk of being deceived and being taken advantage

นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) บรรยายในหัวข้อ “SEC Roles and Capital Market Supervision and Development” ให้แก่คณะนักศึกษาหลักสูตร