https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/LawReform/RIA-SEA.pdf HouseStyle liberty under this Emergency Decree are that the law is enacted to ensure the effectiveness of the supervision and
/translate-digital.docx HouseStyle liberty under this Emergency Decree are that the law is enacted to ensure the effectiveness of the supervision and monitoring of the activities and businesses relating to
, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
ambitious than a simple box-ticking approach. Benefitting from the perspectives of securities regulators, stock exchanges, self-regulatory organisations, institutes of directors, the media and the private
are sufficient and correct before forwarding them to the Board of Directors for consideration. - Review the internal control system to oversee that the internal audit procedures are adequate
investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could
. Business Recovery from the COVID-19 According to an improvement of COVID-19 infection control, the easing lockdown measures and the reinstatement of economic activities, the Company set its strategies and
reporting process toward a higher quality. In the preceding years, the SEC mobilized various initiatives to support the preparers in building self- discipline and the understanding of appropriate and