” means the Thai Bond Market Association which has been licensed by and registered with the SEC Office. The terms "credit ratings", "registration statement", "listed companies", "high net worth
mutual understanding that the information is shared confidentially. The Principles are high-level objectives that CRAs, regulators, rated entities, obligors, underwriters, arrangers, and other market
market Moderate to high exposure to the capital market Low to moderate exposure to the capital market Low exposure to the capital market Figure 1: The firm-level inspection results, categorized by risk
Assessment National level Listed company level Archive CG CSR Anti-corruption AGM FAQ News/Events FAQ Board roles and responsibilities One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR
asset rules, investment rules with higher level of diversification and reclassifications of funds to better reflect investment risks on the basis of exposure to net asset value instead of investment value
Assessment National level Listed company level Archive CG CSR Anti-corruption AGM FAQ News/Events FAQ Board roles and responsibilities One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR
-risk or complex products, i.e., derivatives, high-risk or complex of debt securities and mutual funds 1 Obtained a bachelor’s degree. ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and
DBS Vickers Securities (Thailand) Co.,Ltd. Between June 4, 2019 and June 7, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to submitting an accurate
SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement
requires the use of multiple indicators (Griffin, 2000; Margolis and Walsh, 2003; Marom, 2006). The accurate measurement of CSR relies on various attributes that are inherently unobservable or measured with