procedures, and other relevant systems for carrying out the external review. 2. Employ appropriate staff with the necessary experience and qualifications for the scope of the external review being provided. 3

/?subsection=display_committee&cmtid=20   3. Growth and Emerging Markets Committee: The committee undertakes a key role in formulating and carrying out policies relevant to growth and emerging markets. It

conducting business and complying with the law. The SPV Act grants the SEC Board the power to issue subordinate regulations regarding the criteria for defining future receivables as well as regulations

by conducting the process of Know Your Client (KYC) so that they can provide appropriate services. Nowadays, an electronic KYC or e-KYC has been introduced to make KYC processes faster and become

SEC is conducting a public hearing on draft notification on financial statement forms for securities companies and derivatives business operators to be in line with Thai Financial Reporting

companies conducting mutual fund management and private fund management businesses. The consultation paper is available at www.sec.or.th/hearing Stakeholders and interested parties are welcome to

asset value (NAV) by adjusting the number of investment units to reflect the change in investment unit price- Allowing business operators to be exempted from conducting investors’ suitability tests if

, and appropriate internal supervision system. Moreover, the systems must be compatible with the additional technology apart from the regulations in standard criteria for conducting business. The

benefits from the securities in possession. In any case, securities companies would need to establish efficient control and risk management system.SEC is therefore conducting a public hearing on the

, the current submission period may be inconsistent with the current situation. The SEC is therefore conducting the public hearing on the proposed principles and draft regulations on extension of the