step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
acts as the oversight body, is overseen by an independent body. Such an auditor oversight body must operate in the public interest, and have an appropriate membership, an adequate charter of
overseen by experts, all aimed at creating an illusion of trustworthiness. In addition, the SEC continues to prevent investment scams in various manners, as follows: (1) Posting on the
DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22
. In the he associated n in the same mpanies in the by Baht 3.57 n Baht 18 59.21 42.38 101.59 n e f d s s e d e d e e 7 Please be i Respectful -Weera Lou (Mr. Weer Chief Excu Sha For nine- (Plus
150.35 mil as follows: Please be i Respectful -Weera Lou (Mr. Weer Chief Excu Sha For Q2 en (Less) For six-m (Less) nt of Baht 19 ased by Baht ond quarter o nt of Baht 122 llion or 544.5 : - informed acco
measure is considered by a sub-committee whose most members are representatives from the private sector. These steps ensure that the measure to be taken is appropriate, practical and respectful to
or insurance business. This collects assets and manages them on behalf of beneficiaries or clients; its obligation is to preserve and enhance value on their behalf. It is usually overseen by some form
insurance are combined, at least under a common holding company. There is little guidance on how such financial conglomerates should be overseen or regulated beyond general requirements to separate certain