-linked life insurance policy and in defining clearer scope of supervision responsibility. In this regard, the SEC will supervise in the area of asset management companies, including fund management
. Shareholders include: > Families and private controlling shareholders: Traditional family groups are still an important part of the corporate landscape. Family groups control a range of companies through a mix
Statistical Highlights Audit Committee Statement Report on Internal Control over Financial Statements Financial Statements Appellate Committee Arbitrators Sub-committees 2 3 4 6 8 11 21 27 30 34 41 50 58 70 76
Supervision Group • responsible for ensuring that all securities companies and related associations are qualified for conducting their businesses by having sound financial conditions, proper internal control
. Duangjai Dhanasthitya Director Broker-Dealer Supervision Department Mrs. Paralee Sukonthaman Director Corporate Affairs Department Mrs. Nataya Niyamanusorn Director Corporate Finance Department Mr. Prakid
on the internal control system in key operating areas to assure that objectives in supervision is met with efficiency, effectiveness, transparency and fairness. Moreover, there are measures in
decision on appropriate forms of alliance with foreign counterparts to support future trading linkage;2. Supervision of Securities Business: Licensing provisions would be amended to grant the Securities and
on the selection of qualified candidates. Boards of directors must improve their participation in strategic plan- ning, monitoring of internal control and risk oversight systems. Boards should ensure
provide effective oversight and investigative capacity which will need to be appropriately funded. The ability to attract staff on competitive terms will enhance the quality and independence of supervision
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities