public or any specific person; (4) any step taken thereafter to rectify, remedy or prevention of recurrence of similar facts or behaviors; (5) level of cooperation of the auditor with the SEC Office or any
structure: (i) That is aimed at cooperation, and (ii) That is clearly aimed at profit or cost-sharing or shares common ownership, control or management, common quality control policies and procedures, common
} as a securities investment consultant for two months, effective since?12 September 2017. In handling these cases, the SEC received KBANK's cooperation in reporting the relevant complaints and
the ASEAN region. The annual AARG meeting provides an effective platform to promote regional audit regulator and audit firm cooperation, whilst complementing efforts of the International Forum of
Cooperation (APEC) และตรงกับปีที่สำนักงาน ก.ล.ต. มีอายุครบรอบ 30 ปีอีกด้วยนอกจากนี้ จะก่อให้เกิดประโยชน์ต่าง ๆ โดย (1) แสดงให้เห็นถึงศักยภาพในการแข่งขันของไทยในการเป็นผู้นำของตลาดทุนภูมิภาคและในเวทีสากล และ
strategies. Assessment criteria must therefore be adjusted in response to the changing environment and be able to protect the rights of retail investors.The SEC is pleased to witness the cooperation between
Commission Malaysia in Kuala Lumpur, is the cooperation between ACMF and the International Capital Market Association (ICMA) to introduce ASEAN green bond standards that will be applied across capital markets
the association’s key functions, and day-to-day system operations. The ThaiBMA is proud to be part of this project and through cooperation with the CMDF, the SEC and relevant sectors, in an effort
cooperation is creating the synergy for investment governance culture in the capital market.SEC Secretary-General Rapee Sucharitakul said: ?It takes more than strict regulations to develop a sound capital