Board meetings based upon good governance principles. This includes the monitoring of actions taken according to Board resolutions and orders. Notes: * It is customary for the Minister of Finance, as the
] Legal Group • responsible for providing legal advice on rulemaking and keeping up to date with legal developments. Enforcement Group • responsible for monitoring and investigating unfair securities
efficient and effective monitoring process. Along the same line, the inspection results of individual engagements showed promising improvement of audit quality in the capital market, as reflected in the
Businesses of 2018 News Public information SET/ external party Complaint The SEC Office’s Surveillance System
; (2) enhancing efficiency of preventive measures, surveillance, and enforcement mechanisms in response to technology advancement; (3) increasing market width and depth to attract worldwide investors and
office agreed to execute such transaction even though the contact phone number was not the one given by the client; (3) surveillance system to prevent conflicts of interest: the system was found to be
) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions
. At present, the EU is considering recognizing Thailand’s auditor regulation system as equivalent in the EU. This recognition will enable EU Member states to rely on the supervisory work of Thailand
continually prioritized risk surveillance through prudent screening and close monitoring of borrowers along with implementation of assistance measures for affected customers, covering both corporate and retail
; Being the 4th Year of the Present Reign. His Majesty King Maha Vajiralongkorn Bodindradebayavarangkun is graciously pleased to proclaim that: Whereas it is expedient to amend the law on securities and