is to promote fairness and equality for all investors. Secondary public offering (SPO) of listed companies would also follow this general cornerstone approach. In addition, the SEC is proposing the
customers with integrity, honesty, quality, fairness and equality. In a case that a digital asset business operator will outsource other parties, the business operator is required to follow the notification
measures for protecting shareholders and investors.“Supervision of securities trading activities to ensure market orderliness and fairness is one of the measures for protecting the interests of shareholders
transparency and fairness. Whistleblower Handling Tel : 0-2033-9999 or e-mail : whistle@sec.or.th Complaint Against SEC (form) Complaint / Inquiries Complaints / Whistleblowers Inquiries
protecting investors, promoting fairness, efficiency, transparency of the capital market, and reducing financial systemic risk, and also in convergence with the National Strategy and the National Economic and
operation. Meanwhile, KBank ensures that policies, processes and systems for controlling, monitoring and reporting risks, capital and liquidity are in place whereas segregation of duties and reporting lines
minutes of the Board meetings in compliance with the corporate governance principles. This includes the monitoring of executions of the Board resolutions and orders. In 2006, there were 13 Board meetings
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
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
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