Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company Derivatives Dealer Licensed Derivatives Dealer Securities Investment Advisor Securities Company and Other
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
Culture": SEC staff think further and are ready to embrace changes by creating new ideas, processes, and solutions to improve efficiency and effectiveness at work. Key result 2: “Excellent Services": SEC is
obtained “Very Good” or “Excellent” overall corporate governance scoring under the IOD “Corporate Governance Report of Thai Listed Companies 2014” combined with the assessment results of at least 70 percent
รับการเปลี่ยนแปลง" เพื่อสร้างแนวคิด วิธี และรูปแบบใหม่ ๆ ในการทำงานให้มีประสิทธิภาพมากยิ่งขึ้น Key result 2: “Excellent services: ก.ล.ต. เป็นองค์กรแห่งนวัตกรรม นำดิจิทัลมาใช้" เพื่อให้บริการสะดวก ลดภาระ
obtained “Very Good” or “Excellent” overall corporate governance scoring under the IOD “Corporate Governance Report of Thai Listed Companies 2014” combined with the assessment results of at least 70 percent
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and
Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
directors and non-executive directors should support proper checks and balances to prevent unfettered power of decision and authority by any one individual, whereby: a) the majority of the board should be