Exchange supervision can also be sent via facsimile 0-2263-6335 or email: jarun@sec.or.th, securities business supervision via facsimile 0-2263-9777 or email: namporn@sec.or.th, and restructuring of mutual
through which the objectives of the company are set, and the means of attaining those objectives and monitoring performance are determined. The Principles do not intend to prejudice or second-guess the
through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
operations involving supervision of market activities or monitoring of compliance with the stated laws, rules and regulations are generally managed within the SEC Office, except for licensing, which must be
matters: (1) business continuity management, as detailed in Part 1; (2) review, monitoring, and examination of computer systems relating to clearing, settlement, and depository services with respect to
, effective monitoring of management and be accountable to the company and its shareholders. Moreover, the board is also required to balance the different interests and classes of shareholders, and others. The
enforcement action taken. 6 Statement of Intent (2017) (4) Ensure effective management, monitoring and evaluation, including risk and budgeting management, internal control, adequate financial resources
] Legal Group • responsible for providing legal advice on rulemaking and keeping up to date with legal developments. Enforcement Group • responsible for monitoring and investigating unfair securities
Board meetings based upon good governance principles. This includes the monitoring of actions taken according to Board resolutions and orders. Notes: * It is customary for the Minister of Finance, as the