regulators, credit rating operate and the manner in which opinions of CRAs should be used by market participants. The IOSCO CRA Principles address four key objectives that are designed to promote informed
startup firms for enhancement of our business capabilities to achieve sustainable growth while maintaining our market leadership over the long term. Guided by our core strategies of “Customer Centricity
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
Building Confidence in the Capital Market No. 10/2017 SEC grants a second extension to KC special audit report submission Bangkok, 13 March 2017 – The SEC has extended the deadline for submitting the
Building Confidence in the Capital Market No. 6/2017 SEC extends deadline for KC special audit report Bangkok, 10 February 2017 – The SEC has extended the deadline for submitting the special audit
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to
The Capital Market Supervisory Board’s meeting on 3 March 2020 approved in principle the inclusion of more asset classes eligible for use in the repo / reverse repo agreements between securities
measure to control the spread of COVID-19. The seminars will be broadcast live every Friday throughout the month of May, from 16.00 to 17.00 hours. The episodes in chronological order are as follows: 1