relevant securities clearing house or central securities depository to amend, repeal, or revise its existing rules or regulations, or take any action as the Capital Market Supervisory Board deems appropriate
including [existing] clients of an intermediary. 2 “institutional investor” means an institutional investor as specified in the Notification of the Securities and Exchange Commission concerning the
be limited in terms of accuracy, availability and timeliness. It is possible that the data from ESG data providers may be incorrect, unavailable (e.g., not existing, or absence of look-through), or not
; (2) increase in the types of investment units without diminishing the existing rights of the unitholders; (3) proceeding in compliance with the provisions of this Act; (4) revision or modification of a
investors in a manner of concealing or disguise or making up non-existing facts in material transactions or operation; (d) having withdrawn an application for an offer for sale of newly issued shares without
before finalizing the decisions to accept new clients or to continue relationships with existing clients. This approach would prevent the audit firms from accepting or continuing engagements with
shareholders, either for individuals or for the policy of the scheme as a whole. Shareholder approval should also be required for any material changes to existing schemes. 5. Shareholders should be able to vote
Activity report 2017En CAPITAL MARKET FOR ALL INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 Executive Summary Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Framework and Focuses in 2018 Root Cause Analysis Summary of Audit Inspection Results A. Firm Level B. Engagement Level Essential Statistics 49 4412 46 0402 07 Contents Executive Summary The capital market is a fundamental component in driving Thai...
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
improved related processes for existing products. In 2018, global financial markets were quite volatile due mainly to the unresolved US-China trade war. Emerging countries, including Thailand, felt the