effective risk management and internal control Principle 7: Ensure disclosure and financial integrity Principle 8: Ensure engagement and communication with shareholders 3.2 Implementation of the Corporate
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
; 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
; 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
Central Treasury Department – Finance and Control Division และควบคุม Internal Audit Audit Division Audit Committee Risk Oversight Committee Operating Committee Credit Risk Management Sub-committee Credit
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
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
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
Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Mutual Fund Cross-border Offering of Funds Business Operators
Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Mutual Fund Cross-border Offering of Funds Business Operators