line with the corporate budget plan and the corporate strategic plan; (3) allocation of sufficient human resources for the information technology function, for example, arrangement or development of
quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best
to ensure a healthy environment for new product launch without unnecessary regulatory blockage, (2) promoting the roles of the Thai Bond Market Association (ThaiBMA) as a primary self-regulatory
@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
sufficient information for making decisions, as well as to enhance the quality of financial reporting, the SEC regulates auditors who audit and express opinions about financial statement in capital market in
accounting standards while auditors must work for audit firms that have a quality assurance system in place. In addition, the SEC encouraged trade associations to expedite its preparation for self-regulation
ratio of 15.73 percent, remaining sufficient to cushion against risk, and greater than the Bank of Thailand’s requirement, being 11.50 percent and 9.00 percent, respectively. All of the above endeavors
has other measures which are adequate and sufficient to compensate for the compliance with the regulations or conditions to be exempted. The granting of exemptions under the first paragraph shall take
40.32 percent, which was better than the target. Meanwhile, our robust capital position was sufficient to cushion against risk, and greater than the Bank of Thailand’s requirement. As evidenced, the
: - Review the financial reports (quarterly financial report and annual audited financial report) to oversee that the reports are sufficient and correct before forwarding them to the Board of Directors for