services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members
policy or implementation not yet taken, it should be proposed that the board of directors pass a resolution acknowledging their duty to supervise the Company's compliance with the governing laws, including
supervise and operate the Fund in accordance with the objectives specified under Section 218/2. Such powers and duties shall include: ( 1) laying out the management policy, approving the operating plan, the
companies’ financial statements and supervise the work of auditors. In so doing, the SEC regularly arranged internal training sessions on financial reporting standards and auditing standards. In the same way
, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and related businesses, organizations related to securities business
have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and
practitioners to become self-regulated community, especially in the oversight of members’ compliance with ethical and professional codes of conduct and imposition of disciplinary actions. The SEC has also
relevant entities while preserving market fairness and transparency. The Securities and Exchange Commission, Thailand is an independent government agency established to supervise and develop the Thai capital
Property Fund, Infrastructure Fund, and Real Estate Investment Trust (REIT), and the Chairperson of the Working Group on the Consideration of the SEC Approval Criteria for the Self Regulatory Organization in
Trade Competition Commission – a separate independent body to supervise trade competition with greater flexibility. As a provider of financial services operating under the purview of this Act, KBank