ทีเ่กีย่วขอ้ง SEC Open data services E-enforcement • Corporate surveillance system - ความสมัพนัธบ์คุคล / นติบิคุคล - Fraud • AI-enforcement - พฤตกิรรมสรา้งราคา - พฤตกิรรมผดิปกติ • Off-site monitoring: - ผปก

, effective monitoring of management and be accountable to the company and its shareholders. Moreover, the board is also required to balance the different interests and classes of shareholders, and others. The

Participants. TERMS For the purposes of the IOSCO CRA Code:5 under common control with another entity. performs analytical functions that are necessary for the issuing or monitoring of a credit rating or

collaboration of audit firm leaders, auditors and personnel. Nevertheless, some audit firms have yet to remove deficiencies in engagement performance and monitoring while they are revising their audit manual and

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

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

suggestions, please email aunchisa@sec.or.th and archari@sec.or.th. Thank you again for your kind contribution. 1. Aggregate limit of 3 million baht on total investments in ICOs by each retail investor in any

• Order message limit (throttle): ก าหนดปริมาณค าสัง่ต่อ 1 วินาที (ปัจจุบันอยู่ท่ี 25 ค าสัง่/วินาที) • HFT definition*, HFT registration*, flagging of HFT orders* • Single stock circuit breaker, limit-up

closed monitoring and prevention from seeking a resolution on such transactions from the shareholdersû meeting. If any unlawful behavior is found, coordination will be made with related agencies in advance

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