The SEC made amendments to the regulations governing the reporting of the IPO shares results, aiming to enhance investor access into critical information and be useful for investors’ decision-making (disclosure-based) for timely information disclosure without imposing an undue burden on the issuer. The amended regulations are summarized in the following details. 1. In addition to the existing requirements for reporting the IPO shares results (Form 81-1-IPO), the issuer shall submit a supplement...
The SEC Strategic Plan 2024–2026 prioritizes the strengthening of Thai capital market trust and highlighting the critical significance of investor confidence in cultivating a robust capital market that serves as a channel for fundraising of businesses and investment for investors. Ultimately, the goal is to achieve sustainable development, reduce inequalities. Recognizing the importance of complete, transparent, and timely IPO information for investors’ informed decision-making, the SEC aims to...
includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
* and Form 56*. These rules have caused an unreasonable burden on these companies. SEC therefore plans to improve these rules to facilitate holding companies, which engage in various types of business
As part of continuing efforts to support market confidence and business integrity, the OECD has launched in Asia a new set of corporate governance principles that were endorsed at the G20 Finance Ministers meeting in September 2015. The G20/OECD Principles of Corporate Governance provide recommendations for national policymakers on key corporate governance issues, such as shareholder rights, executive remuneration, financial disclosure, the behaviour of institutional investors, boardroom practic...
into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted
violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
improve knowledge and experience for students regarding technologies and innovations. The event took place on 21 June 2023 at the SEC Building.
the termination of membership. Deficiency of the termination of membership for any reasons or PVD members’ failure to receive cheques have brought about soaring unclaimed money, which the AMCs are