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
developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from
, investment analyst and investment planner, and at the amount of 10,000 baht in case of a fund manager. SEC has therefore proposed amendments to the regulations on supervision of capital market
company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of
The Advisory Committee on Listed Company Monitoring to be chaired by SEC Secretary-General will play the role of monitoring progress on the consideration of legal proceedings and law enforcement
SEC is proposing amendment to the guidelines for supervising auditors and audit firms in the Thai capital market to enhance the audit quality oversight of audit firms and promote the development
Thai Share การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้คุกกี้ชนิดจดจำข้อมูลซึ่งคุณสามารถเลือกเปิดหรือปิด
Thai Share การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้คุกกี้ชนิดจดจำข้อมูลซึ่งคุณสามารถเลือกเปิดหรือปิด
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plan with proper instruments; (4) monitoring and adjusting investment proportion in according to acceptable risks and investment targets; and (5) reporting the overall investment of customers. If