with related parties to improve the supervision.”SEC disseminates the public hearing document on this issue at SEC website: www.sec.or.th/hearing. Any related parties and interested persons are
early 2019. The SEC will specifically participate in the efficiency assessment of securities regulation and supervision. In revising the rules on approval and disclosure of information by equity issuers
implement mechanisms for the supervision of its affiliated and associated companies. These mechanisms must be examined by the holding company’s audit committee and board of directors. Measures ensuring that
relationship through capacity building programs in the areas of bond market development, mutual fund and provident fund supervision as well as a preparation for self-assessment to become an ordinary IOSCO
) Photocopy of the latest inspection result or report issued by all of the following parties (if any); - the audit oversight authority - professional body - network firm - firm’s internal monitoring Signature
details and the amount of mutual funds’ assets, and for recording the asset inflow and the asset outflow of each mutual fund; (e) Systems for attending and monitoring the rights and benefits arising from
funds’ assets, and for recording the asset inflow and the asset outflow of each mutual fund; (e) Systems for attending and monitoring the rights and benefits arising from mutual funds’ assets
management procedures to support business operations via each service channel in compliance with the new regulation. 6 Financial Institutions’ IT Risk Supervision The Bank of Thailand (BOT) issued
ก.ล.ต. Audit Oversight Board of Malaysia และ Accounting and Corporate Regulatory Authority of Singapore เพื่อเสริมสร้างความร่วมมือระหว่างหน่วยงานกำกับดูแลการสอบบัญชีของประเทศอาเซียนในการยกระดับคุณภาพ