of listed companies, as well as other policy directions that would help reduce challenges to accessing capital sources and carrying out the responsibilities of listed companies. The goal is to ensure

management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the

to ensure its completeness and correctness. Therefore, the SEC considered extending the submission period of the revised financial statements for HTX to be by January 21, 2005.

regulations for the matter. To ensure that sophisticated, diversified investments of high risk potential are managed carefully, the upcoming regulations will require that private fund management companies

help ensure that the supervision procedures for securities analysts will be undertaken reasonably by taking into account opinions from industry experts and market players. Also, the consideration for

directors and executives of issuing companies to ensure appropriateness of professional qualifications of industry practitioners. The consultative paper can be viewed at www.sec.or.th. Stakeholders and the

ensure proper information disclosure by mutual funds investing in securities or other instruments of listed firms in any specific industry (sector fund) that may involve higher risks and price volatility

matter to ensure that the investors will have accurate and clear information for investment decision-making. Meanwhile, investors are urged to follow up the company?s clarification and take precaution in

system. Different working teams are assigned to work remotely to mitigate operational risk and ensure that the operations and the services to the public will continue without interruption,” said Ms

informed to the Audit Committee and the auditor to explain the facts and related actions regarding this issue. SEC requires the actions of the Audit Committee to ensure that SPRC has measures to improve