surveillance. As a result, the Thai BDC is expected to increase its role in market surveillance and to develop the electronic trading platform to accommodate the Thai debt instrument marketûs future growth https
Appellate Committee 70 Sub-committees 76 Other Committee and Steering Groups 78 Arbitrators 79 Procedure for Investigation of Possible Contraventions of the SEC Act and Criminal Action 81 Financial Statements
ของระบบซื้อขายให้มีความเรียบร้อย (Market Surveillance)
model, the number of clients and the transaction volume; 4) Rectifying the operation under the work system which promotes and maintains orderly market surveillance on the trading system
BIR program. The revision would accommodate the BOT’s market surveillance to acquire in-depth, complete, accurate and timely information on foreign bond investors’ behaviors. Such information would
minutes of the Board meetings in compliance with the corporate governance principles. This includes the monitoring of executions of the Board resolutions and orders. In 2006, there were 13 Board meetings
efficient and effective monitoring process. Along the same line, the inspection results of individual engagements showed promising improvement of audit quality in the capital market, as reflected in the
of the monitoring and root cause analysis on such deficiencies, remediation plan preparation and the follow-up of the remediation plan. The SEC will continue to assist audit firms and follow up on
Arbitral Procedure Organized by the SEC Office (No. 2)
beneficiary owner: UBO) ซึ่งเป็นผู้มีถิ่นที่อยู่ในต่างประเทศ มีการลงทะเบียนแสดงตัวตนกับ ธปท. แล้ว เพื่อให้ ธปท. มีข้อมูลสำหรับติดตามพฤติกรรมของนักลงทุนในตลาดตราสารหนี้ (market surveillance) ในเชิงลึกที่ถูก