opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
receiver : Jubilee Enterprise Public Company Limited Service provider : At Vantage Company Limited Relationship : Close member of the same family of Executive Director 3. Type of transaction : Service
adequate for the risks in accordance with the following rules by using the confidence level of not less than ninety-nine percent: (1) default of one member which may cause the highest loss; (2) default of
, the securities regulator of each member country should apply the ISSB Standards by considering the specific context of their country. The SEC has also joined ASEAN capital market regulators in
securities. This is to ensure fair treatment between retail investors and foreign institutional investors executing the clearing and settlement of securities through custodian which is a member of TCH. The
with other member countries, and; 4. the International Financial Reporting Standards or IFRS.At the meeting, SEC Secretary-General spoke of the successful outcome of the ASEAN Capital Markets Forum
market regulators and relevant organizations from more than 140 member countries around the world. _______________________
The meeting discussed important developments and course of actions in overseeing and developing the capital markets of member jurisdictions. For instances, issues around harmful but legal conduct
Court of Appeal, the Court of Appeal Region I, Dr. Poomsiri Dumrongvute, Lecturer of the Faculty of Law, Chulalongkorn University, and Mr. Jinnah Yamuam, Money and Banking subcommittee member, Thailand