securities companies’ work systems in carrying out these operations under current circumstances. The SEC places high importance to the current issue related to short selling, which could weaken confidence in
governments and central banks to deliver unprecedented level of fiscal stimulus and highly accommodative monetary policies. As for Asia, we were one of the first to have been hit by the virus and the
Investors (PP-10) Private Placement to Institutional Investors (II) Private Placement to High Net Worth Investors (HNW) Public Offering (PO) Approval Qualifications and approval rules
weighted average scores for each TSQC1 element from the first-cycle and the second-cycle of firm-level inspections The SEC found that the audits of listed companies’ financial statements were of high quality
statistical information Our focus for 2014 2 4 8 15 19 33 37 40 47 49 Summary of inspection results A. Firm level B. Engagement level A. Firm level B. Engagement level 1 Thai capital market is one of the
seriously come into question, especially when it involves those with high-level positions. The SEC, then, prefers that audit firms limit their risk exposures by progressively reducing the extent of personal
returns by taking on more market risk deliver less risk- adjusted returns on average. This result echoes the stock-level finding by Saengchote (2017) that Thai stocks with high betas tend to have low alphas
Credit Rating Agencies Approved to Issue Credit Rating for Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds
Credit Rating Agencies Approved to Issue Credit Rating for Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds
the structured notes in any subsequent level to any other persons who are not institutional investors and/or high net worth investors 16. Guarantee/collateral: Specify yes/no. If “yes”, disclose the