and efficiency of the capital market. This will contribute to the robust and sustainable growth of the economy. We envision opportunities for developing the Thai capital market to support the
second-cycle audit inspection with a more robust inspection plan, in response to current audit environment and the deficiencies found during the first cycle. The results, thus far, have shown significant
risk management system for unit selling and purchasing was defective, and the internal audit and internal control systems as well as the compliance system were inefficient. Besides, the bank failed to
/insufficient disclosed information Inefficient workflow Others, please specify………………………………………………………………………… Investment Consultant: Conducting personal trades through the clients' accounts and the trades cause
the Thai market. The plan gives special emphases on enhancement of market competitiveness, establishment of robust market infrastructure and development of risk management system. The SEC Board has laid
for Thai business operators to grow regionally; 3. Market Competitiveness: To strengthen Thai market competitiveness by building robust infrastructure compatible to digital business models; 4. Risk
: - have robust checks and balances mechanisms in place in every critical business system; - have effective business continuity management and plans; - have a customer onboarding and Know Your Customer
One of the SEC objectives is to support investors to develop a robust financial health, using the capital market to accumulate wealth in response to their needs. As such, to expand investment choices
effective date of the regulations; (3) Business operations standards : Requiring DA operators to: - have robust checks and balances mechanisms in place in every critical business system; - have effective
force on 16 December 2023. One of the SEC objectives is to support investors to develop a robust financial health, using the capital market to accumulate wealth in response to their needs. As such, to