-the-counter center in order to reduce barriers to establishment and operation, imposing regulatory measures to enhance the supervisory efficiency of the Stock Exchange of Thailand and introducing

branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in

oversight of persons with the power of management and major shareholders, the imposition of penalties, and statues of limitations for legal proceedings. These proposed amendments are intended to enhance

an order can be modified or cancelled Q3/2024 2.4 Enhance monitoring quality of securities companies • Ex., Implementing the Know Your Process (KYP) for foreign securities company clients / checking

structure through which the objectives of the company are set, and the means of attaining those objectives and monitoring performance are determined”. (จาก G20/OECD Principles of Corporate Governance, 2015

only resilient to unpredictable risks, but also able to enhance the quality of life for all. The financial sector plays a crucial role in channelling financial flows towards the real economy’s transition

the Stock Exchange of Thailand (SET), who acts as a front-line regulator responsible for real time surveillance and monitoring of all securities trading. Previously, the SET had primarily concluded that

information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit

, through effective enforcement, clear and applicable regulations to enhance competitiveness of all sectors.” Furthermore, the SEC chief aims for the regulatory body to create and deliver value propositions

. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)