internal control system helps to prevent and deter frauds. However, emerging frauds that cause considerable damage usually involve malfeasances committed by high-ranking executives. Therefore, independent

interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account

consideration of legal violations under the Digital Asset Business Law and other relevant legislations. Thanks to our collaboration, we observe a considerable progress made by the investigative task force. A

-border investment opportunities for investors.  “To promote development of cross-border products, SEC Thailand has put considerable efforts to revise rules and regulations related to DR issuance in

} was found colluding with other persons to trade RICH shares through 15 related persons? securities trading accounts during May 10 - July 31, 2007. The scheme had considerable impact on RICH share price

providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness

beginning of 2020. Most respondents were in favor of the regulatory updates and suggested that other regulations could be used to oversee fund management and provide investor protection. The

standards of conduct, especially the executives who oversee compliance of business operators in accordance with the law, standards and ethics of business operation, to build investors’ confidence

profit of THB 6.87 M a drop of (9.25%) from 3Q18, while 9M19 showed THB 7.19 M net profit which was lower by (82.97%) from the same period of last year, of which resulted from a considerable lower

duties and responsibilities to the Board of Director on the following matters: - Review the financial reports (quarterly financial report and annual audited financial report) to oversee that the reports