clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the intermediaries should study standards and practice guidelines for business

) certifying that if the auditor of such audit firm is granted an approval from the SEC Office, the audit firm shall monitor and improve the audit quality control system in compliance with the standards

capital market to prepare for compliance with the PDPA. In addition, we support the making of guidelines on personal data protection of each business sector in the capital market. Over the years, SEC has

 to make sure that the personal data management is compliance with PDPA by creating Data Governance Policy and Guidelines for personal data protection management throughout the data life cycle

investment research in compliance with ASCO guidelines as approved by the SEC. The guidelines will include the requirements that brokers must produce investment research to cover at least 30 securities; each

”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and

policy and guidelines. In addition, disclose the information on greenhouse gas emission according to the international standards or equivalent by identifying the name of the reviewer of the carbon

enhance the quality standards of the applicants for SET and mai listing. For example, the regulations related to material transactions (MT) and related party transactions (RPT) to lay out the

products and services in line with international standards. Also, the general public can access and make use of capital market by means of fundraising and investment, as the case maybe. The strategic plan

that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the