Bangkok, February 13, 2012 ? The SEC is seeking public comments on draft revisions to the regulations governing approval for valuation companies and principal valuers for public purposes associated
suitability test. Due to their high level of sophistication, the institutional clients are considered capable of doing self-assessment; however, they may wish to opt in the coverage of suitability test in order
sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could
As a result of the current situation, business operators have to self-adjust in response to technological disruption, the changing environment, and investors’ changing behaviors in order to
from self-regulatory system under professional body to more stringent regulatory system under independent regulatory body. Inevitably, supervision on auditor in Thai capital market must be developed in
in each type of assets. In this regard, asset management companies may choose to invest in mutual funds that concentrate on a specific type of assets and require specific expertise of fund managers
, some brokers issue margin loans at a high proportion compared to their financial position, while many other brokers concentrate their margin loans in a limited number of clients and collateral
remained in many aspects. The findings demonstrated that firm leaders should strictly require their staff concentrate on the implementation of the quality control policies effectively and consistently across
companies? research reports, however, cover only ?in-the-spotlight? large cap listed firms. In addition, investment behaviors among certain investors have shifted to concentrate in high P/E ratio and cash