Effective Risk Management and Internal Control   Principle 7 Ensure Disclosure and Financial Integrity​​ ​Principle 8 Ensure Engagement and Communication with Shareholders ​ ​​​Part 2 Guidelines and https

essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that

clearer, non-overlapping guidelines in line with the evolving capital market ecosystem. The collaboration seeks to ensure a well-regulated, fair, and trustworthy capital market that boosts investor

of listed companies, as well as other policy directions that would help reduce challenges to accessing capital sources and carrying out the responsibilities of listed companies. The goal is to ensure

management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the

Thai ESG funds and strengthen the fiduciary duty of asset management companies (AMCs) to ensure responsible investment.  Mrs. Pornanong Budsaratragoon, SEC Secretary-General, said: “The Capital Market

9 July 2025 to ensure thorough audit process before submitting the report. Nevertheless, the SEC instructs SAM to expedite the audit reporting process in accordance with the specified timeframe

decisions of investors. The board of directors responsible for company management must expedite the process to ensure the best interests of the company and its shareholders as a whole. The SEC has therefore

system. Different working teams are assigned to work remotely to mitigate operational risk and ensure that the operations and the services to the public will continue without interruption,” said Ms

informed to the Audit Committee and the auditor to explain the facts and related actions regarding this issue. SEC requires the actions of the Audit Committee to ensure that SPRC has measures to improve