viability, the SEC Board laid out a policy and procedures for managing risks of market supervision and operation as summarized below: SEC Board Members Total Attendance/ No. of Meetings Minister of Finance
characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2
prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary; (2) controlling, supervising and managing business units relating to investment
) contains a salient point on amendment to the Bank of Thailand’s limited authority under Financial Institution Business Act B.E. 2551 (2008) to ensure enhanced efficiency in supervising specialized financial
in the company’s strategy and capital allocation. Risk should be managed accordingly in a rational, appropriately independent, dynamic and forward-looking way. This process of managing risks should be
fast-changing and globalising world, information material to investor decision-making is becoming increasingly diverse and dynamic. Long-term success in managing a business in today’s complex economic
for operating a derivatives regulatory association only upon meeting the criteria such as having good corporate governance structure, establishing rules for recruiting and supervising members that are
at a fixed rate of 2 million baht. Over the years, the trading volume on TFEX have been increasing continuously. Thus, to align the fee with the cost of supervising derivatives exchange and in line
accommodate the HK-TH MRF project. In this regard, SEC applies the same principles for supervising the ASEAN Collective Investment Schemes (ASEAN CIS) and the Asia Region Funds Passport (ARFP), for which
Shia Co. for supervising the construction. Later, it was found that there was no actual construction under the contract; however, the construction cost was paid with a total amount of 27.5 million baht