appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
from the Secretary-General 08 Members of the SEC Board 11 Executive Officers 15 About the SEC 18 Thailand’s Capital Market Overview 23 Key Achievements in 2004 26 2005 Action Plan 2004 Achievements 29
and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as guidelines for investors to understand and monitor future business directions of
and in the best interests of each client, as well as monitor and supervise to ensure that any preparation and giving of advice adheres to the generally- accepted principles and that such advice is
...................................................................................... Capital Market Overview Market Review ....................................................................................................................... Action Plan and Significant Events Strategic
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
evidence during a planning phase and a substantive test phase, especially in the audit of revenue, risk assessment and response to the risk of fraud. In this regard, the SEC will support and closely monitor