securities companies’ work systems in carrying out these operations under current circumstances. The SEC places high importance to the current issue related to short selling, which could weaken confidence in
) attaining high regulatory standards on par with internationally accepted standards; (2) enhancing efficiency of preventive measures and enforcement mechanisms in response to technology advancement; (3
The Securities Commission Malaysia, the Monetary Authority of Singapore, and the Securities and Exchange Commission of Thailand have signed a Memorandum of Understanding to enhance the ASEAN
with access to the capital market for financial advice and planning. This is generally because limited service channels and expenses have been affordable mostly by high income earners. The strategic plan
seminar provided information about support by agencies in the capital market for SMEs and startups. It is also the first forum for business matching that enables SMEs, startups, and high-potential
the purpose to enhance the quality of corporate governance and financial reports. The seminar covered important topics such as: Driving listed companies’ management to establish a tone at the top
element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1 Information System: Firm's Reference /Guidance Notes Description 1 How does the firm determine what
advice and planning. This is generally because limited service channels and expenses have been affordable mostly by high income earners. The strategic plan aims to address this issue by facilitating
governance.” Ms Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “SEC gives high priority to personal data protection and urges all SEC’s regulated entities as well as related parties to be
competition and innovation and technology advancement. The 2015 plan comprises six strategic moves: (1) attaining high regulatory standards on par with internationally accepted standards; (2) enhancing