. However, the SEC will continue monitoring relevant developments, supervision, and actions in various aspects to ensure that effective investor protection measures will be in place before further developing
take the highest responsibility in Accounting and Finance, the person assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and
futures exchange, by having the SET acting as a main player. Scheduled to inaugurate in 2005, the future exchange, which is currently a project under the supervision of Derivatives Exchange Development
” hosted by the Public Company Accounting Oversight Board (“PCAOB”), to keep abreast of the evolution of auditor supervision in the international level and apply it to improve Thailand’s audit regulatory
director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so
exemption from the requirement of independent director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
the audit quality control system, and closely monitored the COVID-19 pandemic situation to adjust the oversight approach and communication with stakeholders to meet the changing situation. In so doing
procurement of benefit 3. Market overview of the business of procuring benefits from REIT’s assets 4. Risk factors 5. Legal disputes 6. Other relevant information Part 3: REIT Supervision and Management 7
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior