monitoring process and remediation plan. Looking ahead, the SEC will keep up the momentum of strengthening and developing stakeholders. In 2019, we will organize educating sessions on the impending financial
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
Punyashthiti Assistant Secretary - General Mrs. Waratchya Srimachand Market Supervision Department Mrs. Suwanna Chuerboonchai Accounting Supervision Department Mr. Thawatchai Kiatkwankul Corporate Monitoring
company/ person(s) under the SEC supervision; 4. Details of the complaint ( Please identify clearly ) , i.e., objective and details of the complaint, documents and other evidence, for instance, trading
SHARE : SEC adds “digital asset investment advisor” and “digital asset fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to strengthen
collaboration of audit firm leaders, auditors and personnel. Nevertheless, some audit firms have yet to remove deficiencies in engagement performance and monitoring while they are revising their audit manual and
investment returns before Type B unitholders 12 Increasing Market Confidence Source : https://www.set.or.th/th/about/setsource/insights/article/318-set-boost-supervision Enhancing supervisory process through
1 (TRANSLATION) SAFARI WORLD PUBLIC COMPANY LIMITED PCL 0107537000351 Ref. No. 080/2019 4 December 2019 Subject: Notification of the Resolution of the Board of Director’s Meeting regarding of the schedule of EGM1/2020, Capital Decrease, Capital increase, an Increasing of investment cost in Carnival Magic Project, and compensation for design and construction to related person. (Update) To: Managing Director The Stock Exchange of Thailand Reference: 1. Information Memorandum on the Issuance and Of...
company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the