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

The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds

related persons. Monitoring acitivities of invested companies is also a must as sometimes regulators are not legally authorized to issue an order in certain matters.Disclosure of sufficient information is

securities public offering (PO). The revised rules require the issuers of non-listed company not have any records of severe misconducts for a certain period prior to securities offering submissions. For

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

money laundering, etc. Moreover, the issuer must not violate or fail to comply with the law, which may cause severe and significant effects on the issuer’s business; (2) Empowering the SEC to lay out

efficiency of frameworks for monitoring and analyzing systemic risk to examine circumstances and detect weaknesses promptly and prevent severe effects on the overall capital market. In addition, SEC engages