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Bangkok, March 26, 2015 ? The SEC recently hosted ?3rd ASEAN Audit Inspection Workshop? and ?2nd ASEAN Financial Statement Surveillance Workshop,? the international audit oversight events, in Bangkok
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification. (Unofficial Translation) - 3 - Chapter 1
, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification
.................................................... 19 Disclosure and Transparency ..................................... 23 Board Practices and Company Oversight ................. 27 Findings Of The DCA
specified in the relevant Notifications of Capital Market Supervisory Board. Independent directors are an important part of the oversight to promote good corporate governance and protect company’s and
(Renewable) • A CMSL holder is accountable and responsible to monitor its RR and must comply with the requirements and conditions as prescribe by the SC including reporting requirements, to have proper
specified in the relevant Notifications of Capital Market Supervisory Board. Independent directors are an important part of the oversight to promote good corporate governance and protect company’s and