inquiry officer, the decision to prosecute by public prosecutors, and ultimately the judicial discretion of the court in rendering a verdict. In this regard, the SEC will monitor the progress of the ongoing
Us SHARE : Detail Content Our Roles The capital market is the main mechanisms that efficiently mobilize, allocate, and monitor the utilization of the economic resources. The capital market links and
digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8285
require listed companies to make a statement explaining the extent of their compliance with the Principles. There has been extensive legal and regulatory change in Thailand since 2005 Stakeholders are
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
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