* 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
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
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...
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
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...
six months to improve and develop necessary work systems in compliance with the governing regulations. ________________________
digital asset business operators a period of three to six months to improve and develop necessary work systems in compliance with the governing regulations. ________________________
the Transaction KYE is necessary to improve the air conditioners system at Test Room A&B at Refrigerator Production Department because it has been using for over 15 years and became deterioration. KYE
year. Finally, higher maintenance costs from scheduled kiln overhauls were a main contributor to the cost increase however that was a necessary sacrifice to improve capacity availability. Income tax was
arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and