One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
recommended to deal with the said insufficiency; (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard
warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance
time since the inception in 2012. The recent findings in 2019 reflect notable effort by the supervisory agency for supervision of listed companies.The findings suggest that Thai listed companies still
different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor
/News_Detail.aspx?SECID=8840 SEC enhances real estate -backed ICO oversight to strengthen investor protection mechanisms digital token holders.The SEC has therefore amended the regulations governing supervision of
environmental, social and governance (ESG) issues, and (5) To use technology and innovation to enhance developmental efficiency, supervision and investor protection appropriately in all aspects. Regarding digital
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
, the SEC Office, the Bank of Thailand, the Thai Bond Market Association and any other organizations that monitor and examine goods or variables for the benefit of supervision of derivatives, goods or