advisors as well as knowledge enhancement of securities firms and investor contacts regarding product features and clients? risk profiles. Meanwhile, the SEC is promoting investor education to help investors
firms must be well-prepared for all dimensions of business risk associated with changes which affect stability of the companies and the capital market.? said Vorapol.
investment advice and disseminating analysis reports and information of listed firms to investors. Hence, the ASCO and securities company members always place high importance on corporate governance and
SEC?s approval list who also work for leading auditing firms (big 4). The special audit will cover the transactions with MILL?s business alliances which may be considered as related parties and shares
markets of the World Federation of Exchanges (WFE) whereas the eligible funds must be established and managed by securities firms licensed by member regulators of the International Organization of
business service as a channel for money laundering and terrorist financing such as requiring securities business operator (securities firms and asset management companies) to learn of client?s identity, a so
volunteer roles in exercising voting rights effectively and in accordance with good corporate governance principles in the 2015 Annual General Meeting (AGM) of listed firms. In 2015, TIA agrees with the
the Thai capital market, (2) Scale up listed firms’ quality to enhance value through the Jump+ and Value Up Program, (3) Streamline IPO and foreign listing process to boost fundraising and
The SEC as a host, in association with audit regulatory agencies of Malaysia, Singapore, Indonesia, and the Philippines (AARG members), organized the 10th AARG Annual Meeting with Audit Firms on 15