services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
regional regulators on new challenges that could have an impact on the balance between effective supervision and financial innovation.The seminar took place in Bangkok during 22 - 26 August 2016.
supervision and trustworthiness of listed companies? financial reporting. Vorapol Socatiyanurak, SEC Secretary-General said that ?Following the 2010 revamp of audit oversight to require SEC-registered auditors
auditors.? The Auditing Advisory Committee comprises both current audit practitioners and non-practitioners. Its major role is to render advice to the SEC regarding supervision and inspection of audit
การณ์ของตลาดทุนในปัจจุบัน โดยได้จัดตั้งฝ่ายกำกับธุรกิจแนะนำการลงทุน (Investment Advice Supervision Department) เพื่อกำกับดูแลผู้ให้บริการด้านคำแนะนำและการขายหลักทรัพย์แก่ผู้ลงทุน ซึ่งเดิมเป็นหน้าที่และ
's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
เกณฑ์การกํากับดูแลสถาบันการเงินของ Basel Committee on Banking Supervision (Basel III) ตราสารกึง่หนีก้ ึง่ทนุ ตราสารทางการเงนิทีม่เีงือ่นไขใหแ้ปลงสภาพเป็นหุน้ได ้ ตราสารภาครฐัตา่งประเทศ ตราสารที่มีรูปแบ