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
: “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
other lessers in the adjacent area based on reference asset reference asset appraisal report. 9. The opinions of the audit committee and/or director of the company which are different from the opinions of
time to be overcome. Moreover, several other challenges still lie ahead. These include intensified competition between banks and non-bank players amid the fast-changing technology, the National e-Payment
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
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