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

efficient and effective monitoring process. Along the same line, the inspection results of individual engagements showed promising improvement of audit quality in the capital market, as reflected in the

audit firm’s quality control system and quality of audit engagement. The result of 3 inspection cycle reveals that multiple audit firms have already improved their monitoring process to be in line with

-sized audit firms 6. Monitoring In 2016, the evaluation result in this element signify the improvement from the 2 inspection cycle. This is because most of the audit firms had improved its monitoring

improved the monitoring process to be coherent with the TSQC 1 and the SEC’s observation. However, in 2017 we still identified the findings on the monitoring process in some audit firms as follows: 1. The

elements of the financial reporting ecosystem, from better education and training to more rigorous monitoring and enforcement. And it is only when the appropriate processes are in place and the people

The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to