Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
fair and orderly markets, ensure regulatory convergence with international standards and improve efficiency of information disclosure of securities issuers in compliance with good corporate governance
efficient, transparent, and examinable, in a bid to promote confidence towards, and integrity and security of, the overall financial system, and to improve the competitiveness and image of the Thai capital
for investors and enhance competitiveness of asset management companies (AMC), the SEC conducted a public hearing in November, proposing the principles and draft notifications for the amendments to
expand investment choices for investors and enhance competitiveness of asset management companies (AMC), the SEC conducted a public hearing in November, proposing the principles and draft notifications for
compliance with proper standards of practices and ethical code of conduct ● Developed law or system to enhance investorsû rights and protection such as trust law, class action, and arbitration procedure
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SEC will include collaboration on a number of important areas including: • Co-developing a programme to improve the quantity and quality of environmental disclosures from corporates and financial
criminal complaint is merely the commencement of the criminal procedure whereby the inquiry official will perform an investigation before recommending the case to the public attorney who has authority for
-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to improve audit quality Executive summary Contents Quality Assurance Review Panel (“QARP”) Significant