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
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
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
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
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
-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
and cross border listing as it will be even more important for regulators to work together to ensure information shared across countries is properly audited and adopts consistent standards. • In
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As the SEC and SFC have developed the bilateral cooperative framework regarding HK-TH MRF to facilitate cross-border offerings of funds between Hong Kong and Thailand, this by extension will help