paid special attention to this issue by rolling out numerous initiatives to maintain staff in the organization, e.g., defining clear career paths, establishing attractive compensation plans that reflect
At the SEC Meets the Press session today, Secretary-General Pornanong Budsaratragoon shared her perspective and vision for leading the SEC organization after recently assuming office. “I have taken
change the chain of command to bring about more comprehensive and clear situation awareness while the executive reshuffle will also be undertaken. The restructuring will become effective as from August 1
with the International Organization of Securities Commissions (IOSCO) standards and FSAP. Reexamining these regulations would help to further credibility of the Thai capital market and to build up
organization after recently assuming office. “I have taken on a new role in a familiar organization and working environment, with the primary goal of leading the SEC as a regulatory agency that develops the
(IMA) Control Environment 1. The organization demonstrates a commitment to integrity and ethical values. Questions Yes No 1.1 The board of directors and the management set up principles and guidelines
compliance or the internal audit unit, and the organization structure of for the unit responsible for custody of private fund assets shall have a clear scope and shall not combined with other unit which will
, and the organization structure of for the unit responsible for custody of private fund assets shall have a clear scope and shall not combined with other unit which will lead to conflict of interest
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to communicate with clear and reliable information, and without misleading information. SEC Act
(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee