enforcement action taken. 6 Statement of Intent (2017) (4) Ensure effective management, monitoring and evaluation, including risk and budgeting management, internal control, adequate financial resources
Agency ● Internal Management 57 Board of the SEC 58 Appellate Committee 59 Sub-committees and Steering Group 66 Arbitrators 67 Executives Officers 68 Capital Market Performance 2001-2003 72 Investigation
; 4. Online job application; 5. Acceptances and referral of cases; 6. Processes relating to security management of computer and information center and management of SEC internal security; 7. Profiles of
guidelines cover the key areas of risk management, internal control, code of conduct, conflicts-of-interest management, handling of complaints against the SEC's staff, communication with stakeholders and
• responsible for office management and administrations to support internal operations of the SEC. ■ 1. Mrs. Supan Posayanonth Director Legal Department ■ 2. Mrs. Paralee Sukonthaman Director Enforcement
budgets and major expenditures, and ensuring that risk management and internal controls are established. In practice, directors take their responsibilities seriously. Directors participate in director
governance guidelines cover the key areas of risk management, internal control, code of conduct, conflict-of-interest management, handling of complaints against the SEC's staff and communication with
กรรมการต่อรายงานทางการเงินแสดงควบคู่กับ รายงานของผู้สอบบัญชีในรายงานประจำาปี 1.4 คณะกรรมการควรสนับสนุนให้บริษัทจัดทำาคำาอธิบาย และการวิเคราะห์ของฝ่ายจัดการ (Management Discussion and Analysis หรือ MD&A
confidentiality and data protection. The SEC has put in place internal procedures to ensure that its exercise of powers and duties are consistently applied. Operational Risk Management The SEC has developed its
corporation’s accounting and financial reporting systems. New issues in this chapter include the role of the board of directors in risk management, tax planning and internal audit. There is also a new principle