notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
and Audit Oversight > Auditor Supervision Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor Supervision The SEC has put its continuing effort on
> Financial Reporting and Audit Oversight > Auditor Supervision > Quality Assurance & Review Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor
regulators in terms that the SEC is independent from audit profession and the audit oversight system in Thailand is in line with international standards. Therefore, this will help enhancing investors
company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the
in writing with an approval from the board of directors of the company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking
Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Business Operators Fund Registered Person Trustee Digital Asset
necessary to put in place an effective handling procedure. Each organization should establish a clear procedure and cyber threat handling guidelines. We hope this drill will be a beginning for capital market