.................................................... 19 Disclosure and Transparency ..................................... 23 Board Practices and Company Oversight ................. 27 Findings Of The DCA
improve their participation in strategic planning, monitor- ing of internal control and risk oversight systems. Boards should ensure independent reviews of transactions involving managers, directors
circumstances change, the different provisions of the corporate governance framework should be reviewed and, when necessary, adjusted. Countries seeking to implement the Principles should monitor their corporate
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
regulations ë Monitor submission of reporting requirements and information disclosure to assure a sound financial condition and capital adequacy according to rules and regulations ë Conduct routine inspection
oversight of financial reporting, disclosure, internal control and internal audit to make sure that the firm’s financial records and reporting fully meet Thai Generally Acceptable Accounting Principles
further ensure that management of investment money would be for the best interest of investors by introducing an oversight mechanism, either for independent body or person, to undertake the supervisory role
plans and procedures for the SEC including development of operational guidelines, systems to identify, assess, monitor, control or minimize risks and record keeping and reporting system. The Division also
Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2001 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
securities issuing companies disclose information, including financial statements, management structure, and risk management measures to enable investors, the media, and the SEC to monitor their operation