approval of the listing and trading of spot bitcoin ETFs and solicitations made by some Thai brokerage firms for investors’ direct investment in such ETFs. The Securities and Exchange Commission, Thailand
Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
PowerPoint Presentation CORPORATE GOVERNANCE FOR ASIAN PUBLICLY LISTED FAMILY-CONTROLLED FIRMS Dr. Tony Tan, CFA Co-Head, Ethics, Standards & Professional Conduct 6 December 2017 Bangkok, Thailand
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for
IPOs between 2002-2005, 10 out of 93 firms posted NC status. The probability of becoming delisted increases considerably after year 6 of listing. 2 Illustration of reverse takeover 3 Private firm
Financial Reporting 5. Transactions and Trends 6. Audit risks related to audit firms 1. Economic Environment Oil and gas prices : impacting not only oil and gas companies but also others with significant
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
The webinar ‘Managing Climate-related Risks and Opportunities in Equity Analysis and Investment’ held on 23rd November 2023 was co-organized by the Securities and Exchange Commission (SEC), CFA