Bangkok, September 25, 2014 ? The SEC, the Thai Listed Companies Association (TLCA) and mai Listed Companies Association (maiA) co-support the Territorial Defense Command?s ?Territorial Defense
continuous basis. The implementation of the plan will optimize the balance and lay down a solid foundation in the entire system, rather than focusing on stringent oversight on the third line of defense as
management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the
ลูกค้า บริหารความเสี่ยง compliance และตรวจสอบภายใน ตามหลักการ Three-Line of Defense เพื่อให้การกำกับดูแลบริษัทหลักทรัพย์มีประสิทธิภาพ และส่งเสริมวิชาชีพ compliance ให้เป็นที่รู้จักยิ่งขึ้น เมื่อวันที่ 1
investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous
SET on a continuous basis and viewed that preventive measures implemented by the SET to cope with high turnover securities trading are appropriate and responsive to current environment. Therefore
capital market businesses. More investment channels to support convenient and continuous investment in mutual funds will back the government policy to promote saving and investment discipline and
in the possible event of service discontinuance or financial problems that may occur on a continuous or concurrent basis among service providers as has recently been the case for foreign counterparts
Presently, the digital asset business operators are required to hold shareholders’ equity as a minimum capital requirement to assure their sufficient capital for continuous business operations
SEC Secretary-General Ruenvadee Suwanmongkol said: “SEC has been monitoring the corporate bond market on a continuous basis. There are many policy issues to address properly. For example, corporate