enhancement for investment analysts and research, as well as securities professionals to build investor confidence and strengthen business competitiveness. The meeting also discussed certain business obstacles
The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a
Bangkok, February 12, 2013 ? The SEC encouraged the Association of Investment Management Companies (AIMC) to improve the performance calculation practice of asset management companies to be in line with international standards in performing their role of information disclosure to facilitate investors? investment decisions. SEC Secretary-General Vorapol Socatiyanurak said in the first-quarter meeting with AIMC: ?The SEC encourages the association to urge asset management companies in addition to...
sector, the SEC Board has approved to ease the regulations governing the establishment of an audit committee for certain types of securities companies. The audit committee is required to perform the duty
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
NBC will hold the AGM 2020 to seek approval for the acquisition of “Komchadluek” trademark from NMG at the amount of 69.9 million baht and the acquisition of assets and business under the “Komchadluek” trademark from Komchadluek Media at the amount of 100,000 baht, resulting in the total acquisition value of 70 million baht. NBC’s Board of Directors and the Audit Committee view that the entry into the acquisition of business and the trademark of Komchadluek is appropriate and beneficial fo...
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
internal procedures. Each of them has put in place the quality assurance systems in compliance with professional standards, although improvement may be needed in certain practices to measure up to the new
was uneven, with improvement concentrated in only certain industries. Under these circumstances, KBank has developed effective credit risk management policies, tools and processes to cope with potential