reviewed its internal structure and operation to improve performance efficiency. The “Change Management Program” was launched with an aim to shift the SEC’s role more towards that of a “facilitator” and
Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
monitor the effectiveness. However, there is still room for improvement for Thai listed companies. For instance, there should be a system to review and monitor how the corporate strategies are implemented
, company’s compliance unit must monitor and examine all advertisements and prepare monthly report on advertising oversight for board of directors’ approval. The monthly reports are then compiled and submitted
different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor
, led to an overhaul in international auditor supervision. The SEC has witnessed a shift from a system of Self-Regulatory Organization (“SRO”) under a professional body to a more stringent regulatory
, governance system, policy and quality control system. This increase in transparencies among the audit firms will further propel these firms to improve their work quality and will naturally help shift the focus
and the private sector in encouraging the market to shift from regular ESG practices and integrate SDGs impact in business and investment strategies. Congratulations to the government and the private