and auditors play a crucial role in giving investors a rise to signal irregularity in a company through its financial statements. In particular for sizable listed companies and securities companies
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
assume risk) × A combination of risk preference and risk capacity is an ideal 10 11 g “At the onset of retirement, investment advisors make crucial recommendations to clients concerning asset allocation
) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
indeed come at a crucial time amidst the COVID-19 pandemic as this crisis has not only been an accelerating factor for innovation and digitalization of market participants to cope with its impact but has
crucial, particularly in today’s investment world where advanced technology enables easy and instant access to a wide variety of investment options, including those innovative ones. In addition, publicity
effectively. They should operate robust policies to deal with inside information and to avoid market manipulation. 3.5 Appropriate remuneration structures Institutional investors’ pay structures should
maintaining a robust and well-balanced financial reporting ecosystem. More efforts will be given to the development and quality improvement of all parties involved in the preparation of financial reporting. The
for Thai business operators to grow regionally; 3. Market Competitiveness: To strengthen Thai market competitiveness by building robust infrastructure compatible to digital business models; 4. Risk
: - have robust checks and balances mechanisms in place in every critical business system; - have effective business continuity management and plans; - have a customer onboarding and Know Your Customer