Facebook Page ชื่อ Manage future trade : Unlicensed securities and derivatives business (Disclosure Date : 16/07/2024)
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ensure properness of internal control system as well as efficient and productive operations. [ Executive Officers of the Office of the SEC ]12 . . . . . . . . [ EXECUTIVE OFFICERS OF THE OFFICE OF THE SEC
Achievements Corporate Social Responsibilities SEC Strategic Plan for 2015 Appendix Statistical Highlights Report of the SEC Board on Internal Control over Financial Reporting Audit Committee Report 2014 Report
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
2013-2015 37 kEY ACHiEvEMENTS 46 THE 20TH ANNivERSARY HiGHliGHTS 48 TwO dECAdES OF THE THAi CApiTAl MARkET dEvElOpMENT AppENdiCES 54 STATiSTiCAl HiGHliGHTS 79 REpORT OF THE SEC BOARd ON iNTERNAl CONTROl
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
Appendices Statistical Highlights Report of the SEC Board on Internal Control over Financial Reporting Audit Committee Report Report of the Auditors and Financial Statements Sub-committees Arbitrators 41 50 56
basis of capital adequacy, readiness of business operation, internal control system, risk management system, conflict of interest prevention system and customer service system. To promote derivatives
are clearly defined in conformity with the good internal control principle. We also emphasize thorough, accurate and regular disclosures on risk, capital and liquidity management to the public. 3