and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as guidelines for investors to understand and monitor future business directions of
all main areas in the capital market. Annually, these projects help to reduce burdens and operating costs of the private sectors involved worth 153.32 million baht, and cut down 48,210 hours of
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
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
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
define the roles and responsibilities of management and monitor management’s proper performance of its duties. Guidelines 1.4.1 The board should adopt a written policy (such as a charter) that clearly
because the compliance unit is authorized to monitor staff operations according to the relevant rules and regulations, including complaint handling, coordination and reporting to the SEC in case of matters
37 Principles, which can be mainly separated into two main groups: principles for regulator and principles relating to market participants. The assessment grades are divided into four categories: (1