shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the
is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the securities company may
Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to
Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the Use of Securities Business
Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the
Questionnaire No. Particulars Reference /Guidance Notes Description Risk Assessment Process for Governance and Leadership element A1 What are the quality risks in Governance and Leadership element
monitoring process and remediation plan. Looking ahead, the SEC will keep up the momentum of strengthening and developing stakeholders. In 2019, we will organize educating sessions on the impending financial
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
Cyber Risk ให้สอดคล้องกับ มาตรฐานสากล กฎหมายดิจิทัล และกฎเกณฑ์ที่สำนักงานกำหนด ทั้งรูปแบบ offsite monitoring และ onsite inspection กำกับดูแลและตรวจสอบระบบเทคโนโลยีสารสนเทศของผู้ประกอบการในตลาดทุนเพื่อ
. Personally, I would be pleased and thankful for public monitoring, examination, and evaluation of my work as the SEC Secretary-General. All feedbacks and suggestions are welcomed as part of our mutual efforts