ได้เข้าร่วมประชุม MMoU/EMMoU Monitoring Group ซึ่งมีการรายงานการแลกเปลี่ยนข้อมูลของสมาชิกภายใต้กรอบความร่วมมือของ IOSCO และความคืบหน้าในการจัดการประเด็นต่าง ๆ รวมถึงการให้การสนับสนุนสมาชิกจาก IOSCO ใน

List calculation date is July 10, 2015. The SEC and the SET have cooperated closely in monitoring securities traded with high turnover ratio where the SET functions as a front-line regulator to

unitholders supplementary information for decision-making and must report the monitoring results to the board of directors of the asset management company and SEC.The revision is made to align with the

The Advisory Committee on Listed Company Monitoring to be chaired by SEC Secretary-General will play the role of monitoring progress on the consideration of legal proceedings and law enforcement

first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to

preparing high-quality financial reports;Organizing appropriate internal control system, quality internal audit unit, along with monitoring the efficiency and effectiveness of risk management within the

providers by allowing the custodial wallet providers that are listed companies or subsidiaries in the group, who have expertise, experiences, and readiness in custody of securities and other financial assets

Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with

allowing the custodial wallet providers that are listed companies or subsidiaries in the group, who have expertise, experiences, and readiness in custody of securities and other financial assets and in

grounding in basics of an audit • Experience and expertise within the firms: Reliance on experts retained by auditors • Financial services economy has been doing well in some countries, creating challenges