when they establish their private contractual relations. This corporate governance framework typically comprises elements of legislation, regulation, self-regulatory arrangements, voluntary commitments
sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could
, led to an overhaul in international auditor supervision. The SEC has witnessed a shift from a system of Self-Regulatory Organization (“SRO”) under a professional body to a more stringent regulatory
Industry and Be a Firm and Fair Regulator ● Proposed Changes of the Structure of the SEC ● Procedures for Issuing Rules and Regulations Governing the Capital Market ● Roles of the SEC as Law Enforcement
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
2033 9999 or e-mail: complaint@sec.or.th Facebook page for investor education “start-to-invest" and "Happy PVD" SEC and Investors Be Wary of Investment Fraud Investment Governance Code for
encourage active co-operation between companies and employees. Securities regulators, stock exchanges, self-regulatory organisations and investor groups should continue to educate companies and the public
, the Amendments to the Royal Enactment on Special Purpose Juristic Persons for Securitization of 1997, and the laws governing the liberalization of securities businesses. The robust legal framework shall
As a result of the current situation, business operators have to self-adjust in response to technological disruption, the changing environment, and investors’ changing behaviors in order to
17021 Train-the-Trainer Program Training, accreditation and regular CPD events Assurer Training and Accreditation Program UNDP-DUKE IMM for the SDGs - free Coursera online self-directed training course