through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
Exchange Commission Assistant Secretary-General, Fund Raising Supervision Acting Director, Corporate Monitoring Department Director, Investment Management Policy Department Director Investment
limited only to major investors or high net worth investors.The guidelines proposed by SEC for supervision and encouragement of such business cover 4 key points as follows:1. The process for wealth
needs. As such, intended outcomes from the supervision and development of the Thai capital market will be achieved. Rapee Sucharitakul, SEC Secretary-General said that the SEC Board has approved the
opportunities, enhancing competitiveness, and building market infrastructures for the digital age. ?The SEC is becoming an adaptive regulator for the future of data-driven supervision whereby responses to change
large part consistent with the SEC’s Strategic Plan and policy since the SEC is a major driver of the Master Plan. In this past year, the SEC has been active in imposing rigorous supervision/enforcement
data-driven supervision whereby responses to change will be faster and risks exposed to investors and the financial system will be managed in a more timely manner. In so doing, we change the mindset and
เป็นต้น 7 2.2 นำเทคโนโลย ีและนว ัตกรรมมาส ่งเสร ิมการพ ัฒนาและกำก ับด ูแ ลตลาดทุน (Tech-led supervision) • SEC Open Data Services – ซึ ่งเป ิดต ัวอย ่างเป ็นทางการในปี 2565 และจะ ดำเนินการอย่างต่อเนื่องใน
, had generally neglected supervision and surveillance of AEC?s core work systems and failed to amend and rectify even though they had been informed of the company?s inspection results and reports from