To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring

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

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

servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter

UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and

management, and monitoring measures, control and review of compliance and work system; Principle 3: Institutional investors should make informed investment decisions and engage in active ongoing monitoring of

Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform

year. Clause 6 The securities clearing house shall apply effective measures and methods for monitoring and control of outstanding clearing and settlement of securities and risk incurred by each member to

change to the market condition and conduct a full validation of such model at least once a year. Clause 6 The derivatives clearing house shall apply effective measures and methods for monitoring and