SECURITIES (THAILAND) LTD. 16/F, M.THAI TOWER, ALL SEASONS PLACE, 87 WIRELESS ROAD LUMPHINI, PATHUM WAN, Bangkok 10330 Tel.0-2257-4600 Fax.0-2253-0532 9 DAOL SECURITIES (THAILAND) PUBLIC CO.,LTD. 9, 18, 39 AND
ensures that efficient internal control is in place and the SEC operation complies with corporate governance principles. Click here to see SEC organization chart. Our Roles How We Regulate
ซันทาวเวอร์ อาคารบี ชั้น 23 ห้องเลขที่ B-2304 123 ถนนวิภาวดีรังสิต แขวงจอมพล เขตจตุจักร กรุงเทพมหานคร 10900 0-2081-2920 0-2617-7800 4 เชียงใหม่ (สำนักงานออนไลน์) 30 Punna Place ห้อง 5 ชั้น 1 ถนนนิมมานเห
recommendations gathered from the previous hearings on the governing principles taking place in May and June 2017.The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties
out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum
} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor
, audit committee should place greater emphasis on disclosure of non-financial information to which institutional investors tend to pay more attention in making investment decision. Investors also tend to
for private sectors.?To achieve the regulation-for-growth objective, an effective corporate governance mechanism must be in place for the oversight of decision-making process to ensure that corporate
service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under
to further develop the capital market, find solutions to the problems so as to improve efficiency, and put in place investor protection mechanisms for investors’ confidence,” said Mr. Thawatchai