Appendices Statistical Highlights Report of the SEC Board on Internal Control over Financial Reporting Audit Committee Report Report of the Auditors and Financial Statements Sub-committees Arbitrators 41 50 56
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
Transforming Economy,? attracting world-famous speakers to share their experience on corporate culture development for sustainable business as a means to handle new challenge and take care of shareholders and
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
SEC has prepared a questionnaire surveying preparedness toward the Personal Data Protection Act, B.E. 2562 in April 2020 for self-assessment of 276 organizations under its supervision. Based on the
Earlier on 5 August 2021, the SEC Board Meeting No. 14/2564 approved the proposal for amending the regulations related to supervision of digital asset business operators whereby digital asset
violations. In following this manual, if any wrongdoings are found, the business operators are encouraged to report the cases to the SEC and verify that sufficient risk management and control systems have