Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing su...
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
, telecommunications networks or satellite services. Clause 12 An intermediary shall establish information security of the business continuity management in accordance with the following criteria: (1) determine
, telecommunications networks or satellite services. 7 Clause 12 An intermediary shall establish information security of the business continuity management in accordance with the following criteria: (1) determine
statements on a regular basis. This is to ascertain that the financial reporting is prepared in accordance with financial reporting standards and properly disclosed. In 2017, the SEC mandated two listed