institutions should be adequately resourced, credible and accountable, and work closely and effectively with other domestic and external institutions. They should be supported by a credible and efficient
organization, by an independent person with required knowledge and skills, such as an internal or external auditor, and submit to the SEC Office once a year a report on said review, monitoring, and examination
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
duties and rules on conflicts of interest for directors, and introducing characteristics that would make an individual unfit to be a director. Shareholder’s rights to amend the meeting agenda, approve
are representatives from the private sector, external experts. 7. Seek approval from SEC Board/CMSB/SEC Office before drafting the notification * 8. Draft the notification: Draft notifications shall
filing of mutual funds The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents
. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies
external challenges. Finally, I wish to sincerely thank the SEC’s management and officers and all parties who have dedicated their effort towards the sustainable development of our capital market. I am
related operational risk, and evaluate risks both internal and external that could affect the operation and the SEC’s strategic plan. Subsequently, control activities and working procedures are set up to
footprints and impacts on climate change and enhance competitiveness of the Thai capital market through business sustainability. The SEC is proposing to amend the regulation on filing the application for