2023 and higher score in the Integrity and Transparency Assessment 2024 SEC, CFA Institute and CFA Society Thailand collaboratively promote the integration of ESG factors into securities analysis and
score in the Integrity and Transparency Assessment 2024 SEC amends regulations related to requirement of minimum number of auditors in the capital market in an audit firm to enhance the overall strength
conflicts of interest arising due to the relationships that may compromise or appear to compromise the independence and objectivity of credit rating operations; Transparency and timeliness of ratings
creation. Responsible investment requires high standards of transparency, probity and care on the part of institutions, which may be met by adhering to these Principles. The standards set out here are
ข้างต้น ส านักงานจึงเห็นควรปรับปรุงหลักการ กรณี outsource งานให้บริการระบบสนับสนุนในกรณีที่มีผู้ใช้บริการร่วมกันหลายราย เพ่ือให้ผู้ประกอบธุรกิจ ไมม่ีภาระในการ supervise ผู้ให้บริการระบบสนับสนุน รวมทั้ง
Securities and Exchange Commission, Thailand (SEC) is a state agency established by virtue of the Securities and Exchange Act B.E. 2535 (1992), with the main duties to promote, develop and supervise the Thai
) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and
supervise and develop the Thai capital market with the mission to assure a conducive environment for a fair, trustworthy, efficient, dynamic, and inclusive capital market. The SEC collaborates with relevant
agreement in Clause 6 within five business days as from the date of receiving such information and certification. Clause 11. Securities company shall supervise its personnel to comply with this Notification
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance