supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
Department whose rank is not lower than departmental manager" as to whether it includes every person whose title is departmental manager. Specifically, if the CFO in some companies holds higher position than
. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - * The term ‘objectives’ includes long-term central ideas of the company as well as shorter term business objectives. The central ideas refer to the fundamental purpose, principles, vision, values and
. The inquiry is on the interpretation of the term “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager" as to whether it includes every
important information and supporting evidence to SEC Complaint Center. This includes the followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of
the economy. “Market supervision mechanism” includes the issuance of rules and regulations, law enforcement and other supportive measures. Inevitably, each tool has its own strengths and weaknesses
an IT resource allocation policy that ensures adequate and optimal investment in and allocation of IT resources. 5.4.2 The board should ensure that the company’s risk management includes IT risk
: The personal data that the SEC Office collects includes both direct and indirect data, for example, identification number/passport number, title, name, surname (Thai/English), date of birth, citizenship