and new customers. We have always been monitoring and analyzing IU volumes closely. Proactive cost saving plans were implemented with potential expense savings of THB 34 million by extending useful life
business operation. Meanwhile, Senior Management ensures that policies, processes and systems for controlling, monitoring and reporting risks and capital are in place whereas segregation of duties and
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
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
(SEC) is closely monitoring relevant development and, for the time being, has no plan to allow spot bitcoin ETFs in Thailand. The SEC takes note of potential benefits of spot bitcoin ETFs as approved in
achievement of material, quantitative, pre-determined, ambitious, regularly monitored and externally verified sustainability (ESG) objectives through Key Performance Indicators “KPIs” and Sustainability
investment to earn optimal benefits for investment owners and clients. Having such policy and close investment monitoring will encourage the invested companies to adopt good corporate governance and
gathering related documents and evidence for auditor. Considering that financial statements provide investors and shareholders with vital information for making investment decision and monitoring listed
closely monitoring the matter, the SEC has found that at around 08.30 hours on 2 September 2019, a suspicious Facebook account posted deceitful statements that misled the public to believe that such
offering digital asset advisory service and/or acting as digital asset fund manager to provide alternative investment choices for investors, but also support careful monitoring of persons giving advisory