case of foreign company Offer of ESOP must be approved by home regulator which is a member of International Organization of Securities Commissions (IOSCO) and Signatory A of IOSCO MMOU concerning
Stock Exchange of Thailand (SET). In case where irregular trading is found, the SET as a front-line regulator will refer the case to the SEC for further investigation. At present, a number of cases
the industry. Apart from being internationally recognized by the European Union, the International Forum of Independent Audit Regulator, and ASEAN Audit Regulators Group, corporate governance assessment
overview of fund mobilization and capital market mechanism for business enterprise and the public. Vorapol Socatiyanurak, SEC Secretary-General said that as a capital market regulator, the SEC has compiled
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
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
“home regulator” shall have the same definitions as specified in the Notification of the Capital Market Supervisory Board concerning Provisions relating to Offering for Sale of Units of Foreign Collective
permissible to the trust’s investment; (b) be in compliance with one of the following; 10 1. the investment scheme is regulated by a securities and exchange regulator that is an ordinary member of the
institution which is governed by a main regulator and later obtains a license to undertake securities business, but not including a financial institution licensed to undertake securities borrowing and lending