investment decisions and engage in active ongoing monitoring of investee companies. 4. Apply enhanced monitoring of and engagement with the investee companies if monitoring pursuant to (3) is considered

the codes of professional ethics. Most of the findings are in Engagement Quality Control Reviewer (“EQCR”) rotation, non-audit service, individual acceptance, and independent monitoring. 13 Independent

first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to

operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring

written investment governance policy, (4) making informed investment decisions and monitoring investee companies regularly, (5) escalating monitoring of and engagement with the investee companies in case of

Engagements) (1) (1) 4 (Human Resources) ( ) ( ) 5 (Engagement Performance) (2) ( ) 6 (Monitoring) (1) (2) 100 .20 65 2 KPMG KPMG AQIs 2 KPMG KPMG 2 KPMG KPMG KPMG KPMG KPMG KPMG KPMG KPMG 108 31 2564 5.60

) 4 (Human Resources) ( ) ( ) 5 (Engagement Performance) (2) ( ) 6 (Monitoring) (1) (2) 100 .20 85 2 EY data analytic tools EY EY EY EY EY EY EY EY EY 211 30 2564 6.41 35 EY 3 3 1 (Leadership

On 15 June 2023, the SEC took part in the MMoU/EMMoU Monitoring Group meeting, in which IOSCO members’ information sharing and assistance under the MMoU/EMMoU framework was reported, and made an

supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting

mobilization, corporate monitoring and accounting supervision. Prior to joining the SEC in 1992, she was an analyst at the Bank of Thailand.The SEC's new line of commands effective from 11 February 2019 is