Thailand will provide to each other with regard to cross-border equity offering and depositary receipt (DR), which can make a strong contribution to the successful implementation. Enhancing cooperation
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
experiences and from the strengthened cross-border relations. On a smaller scale, the SEC is one of the founding members of ASEAN Audit Regulators Group (“AARG”), whose objective is to be a platform for ASEAN
expected to facilitate plans for the ASEAN capital market linkage and cross-border securities offerings. Moreover, the SEC, together with the Securities Commission of Malaysia and ACRA, has initiated the
regulatory mapping exercises whereby a common ground has been established on 3 January 2020 regarding mutual recognition of funds. At the preliminary stage, both parties agreed on cross-border offerings of
Company Corporate Governance Cross-border Offering of Funds ASEAN Collective Investment Schemes (ASEAN CIS) Mutual Recognition of Funds between Hong Kong and Thailand (HK-TH MRF) SHARE : For More
-border investment opportunities for investors. “To promote development of cross-border products, SEC Thailand has put considerable efforts to revise rules and regulations related to DR issuance in
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acceptable international standards among different capital markets is considered the driving force to stimulate cross-border investments, and thus propelling such integration and linkages forward. Being
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with