4 https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7731 ASEAN Capital Markets Regulators Reiterate Strong Path towards Sustainable Capital Markets and Reaffirm Direction to Promote Sustainability
intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with https://publish.sec.or.th/nrs/5726pe.doc การดำรง
qualifications, has a prohibited characteristic, performs duties defectively, or fails to comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose
violation harder to detect “Easy” to do Constraints More costly to the firms Auditor and regulators’ scrutiny and litigation risk the sum of accruals must be zero over the life of the firm. Model Test
committee, investors, regulators, network firms, other networks, other service providers) Why are they considered relevant parties? For example, - The firm may consider a regulatory authority as a relevant
/LawandRegulations/ShareWarrant.aspx English (United States) IndependentAuditOversight found in various jurisdictions raised serious concerns among capital market regulators on the quality of financial statements and
jurisdictions raised serious concerns among capital market regulators on the quality of financial statements and more stringent quality control on audit work has been imposed to regain https://www.sec.or.th/EN
/News_Detail.aspx?SECID=7731 ASEAN Capital Markets Regulators Reiterate Strong Path towards Sustainable Capital Markets and Reaffirm Direction to Promote Sustainability, Connectivity and Resilience in the Regional
apply for Green loan or bond according to the criteria set by financial regulators cannot apply for sustainable finance instrument can apply for transition loan or bond according to the criteria set by
and in alignment with the specific characteristics and risks associated with different types of digital assets* while adhering to international guidelines and the practices of foreign regulators. The