Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
, the Amendments to the Royal Enactment on Special Purpose Juristic Persons for Securitization of 1997, and the laws governing the liberalization of securities businesses. The robust legal framework shall
. In addition, the SEC revised regulations governing holding companies to al low more f lexible shareholding and business structures to facilitate local listing of holding companies co-established by
@unpri.org for any questions • Contact James.Robertson@unpri.org or info@unpri.org to learn more about the PRI or to discuss becoming a signatory contact 28 mailto:collaborations@unpri.org
practitioners to become self-regulated community, especially in the oversight of members’ compliance with ethical and professional codes of conduct and imposition of disciplinary actions. The SEC has also
certification programmes, including the Collective Action Coalition Against Corruption’s Self-Evaluation Tool. - Issue an Audit Committee Report to be included in the company’s annual report and to be signed by
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
Competition Act B.E. 2542 (1999). Effective October 7, 2017, the new law improves governing measures for trade competition for greater clarity and efficiency, in particular with regard to operations of entities