out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum

} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor

, audit committee should place greater emphasis on disclosure of non-financial information to which institutional investors tend to pay more attention in making investment decision. Investors also tend to

for private sectors.?To achieve the regulation-for-growth objective, an effective corporate governance mechanism must be in place for the oversight of decision-making process to ensure that corporate

service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under

to further develop the capital market, find solutions to the problems so as to improve efficiency, and put in place investor protection mechanisms for investors’ confidence,” said Mr. Thawatchai

to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules permitting securities brokers or investment advisors to promulgate research analysis. The promulgation

. However, attending the said board meeting does not clear any directors from wrongdoings in the past. If any of them are found to have obstructed a shareholders meeting or prevented it from taking place

companies of less than the current threshold of 99%, provided that prescribed conditions are met. Moreover, additional mechanisms to protect REIT rights must be in place, for example, disclosing reasons for

onwards. In considering these amendments, SEC has taken into account opinions received from business operators and related parties during the public hearing which took place earlier.________________________