were sufficient and effective as a quality control measure. In today’s complex business environment and with even more complicated business transactions, sufficient supervision by highly experienced
Loan of Financial Institutions Act B.E. 2523 (1980), except as specified in Chapter 7; “capital market product” means securities and derivatives; “capital market product having high-risk or complex
potential performance and risks (e.g. hedge funds, hybrid securities, structured products, investment units of a mutual fund of which the returns calculation is made in a complicated way (complex return fund
and governments which allow them to easily prioritize climate and green bonds with confidence that the funds are being used to mitigate and/or adapt to climate change. The green bond market is moving
cost of sales being the most frequently recurring themes. Many different factors may have led to such persistent deficiencies of some audit firms and auditors. This includes insufficient involvement of
by securities companies as well as cancel off dominant decision making of member traders on the SET. The draft demutualization bill, approved by the Cabinet in May 2010, is being reviewed by the
Rules Conditions and Procedures for Being Director or Executive of Other Securities Companies
Short Selling of ETF and Securities Being Underlying of ETF by a Securities Company
Rules for Being Settlor and Trustee of Real Estate Investment Trust
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order