the public hearing on the proposed amendments to the regulations and the concerns raised by asset management companies in the focus group meeting held in October 2020. To this extent, the SEC amended
หัวข้อนี้ 6/10 และได้คะแนน 5/6 ใน DB2020 Best regulatory performance: India Kazakhstan and Malta 2.2 Extent of ownership and control (การเป็น https://www.sec.or.th/TH/Documents/AboutUs/Protecting-Minority
honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
Exchange of Thailand dated 18 May 1992 which have been in force prior to the effective date of this Notification shall remain in full force to the extent that they are not inconsistent with nor contrary to
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
risk levels? How many level of magnitudes are there and what are the definitions for each magnitude risk levels? - Please provide the calculation method to determine the final quality risk level as well
จากผลการประเมินในหลายหัวข้อมีพัฒนาการที่ดีขึ้นโดยมีรายละเอียดคะแนน เปรียบเทียบกับผลการประเมินประจำปี 2019 ดังนี้ การดำเนินการชี้แจงข้อมูลและข้อกฎหมายของสำนักงาน ด้านความรับผิดของกรรมการ ( Extent