governance, which include prevention, deterrence and suppression of improper behaviors of listed companies. The webinar also aimed to communicate and build the understanding of revisiting rules and oversight
businesses and entities in the Thai capital market. Our services include provision of information and advice on matters under the SEC's purview. Complaints / Whistleblowers Inquiries / Suggestions
: “intermediary” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
will include new assessment questions, additional weightage for certain questions, particularly those on the Role of Stakeholders, and a streamlining of questions to place greater emphasis on practicing
from the financial statements. 2. If interim financial statements are included in the registration statement, the selected financial data shall also include updated information for that interim period
for sale of investment units to increase registered capital of a mutual fund, the particulars and information required in paragraph one shall be up-to-date, and the prospectus shall also include the
the 5th and 6th March 2020. In the session OPEC proposed a reduction in oil production by 1.5 million barrels per day beginning in April 2020, lasting until the end of the year to compensate for the
and monitoring measures and activate an incident response team to combat the spread of the virus. They include: 1.1 Implement preventive measures 9 Recommend employees to avoid traveling between
IT Controls • General IT controls are policies and procedures used to control many applications to ensure that applications can operate effectively. These controls also include controls over IT