assessments which show that publicly listed Thai firms have efficiently met the ASEAN standards in the area of CG implementation and maintained the leading position in the region for the past three consecutive
an opinion on audit reports; 2.2 being affiliated with an audit firm that has an audit quality control system and the required number of personnel; 2.3 meeting other requirements, e.x., not having
to be the leading capital market in the region and on global forums while strengthening confidence of both Thai and foreign investors. This international event will also be the venue to stimulate
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
-Pacific region. The panelists, consisting of industry leaders and experts, shared insights on how the ASEAN market continues to attract global investment amid diverse internal and external factors
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
Bangkok, June 30, 2016 ? The SEC has become one of the first signatories to the Memorandum of Cooperation on the Establishment and Implementation of the Asia Region Funds Passort (MoC), which