, fairness and impartiality. At the same time, alleged offenders of the securities law are always given opportunities to provide clarifications before legal action is taken. In many cases, committees
organized by the Asian Corporate Governance Association and the CLSA Asia-Pacific Markets. This is due to continuous improvement and revision of supervisory regulations together with information disclosure of
The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a
Ruenvadee Suwanmongkol, Secretary-General of SEC, remarked: “The enhancement of shareholders’ rights and protections is SEC’s main mission. Scaling up the legal knowledge regarding securities and
enhancement of Thai ecosystem for transformation into digital economy and sustainable growth.” H.E. Brian Davidson, the British Ambassador to Thailand said “Financial services and, in particular, fintech
and ending dates in performing the duties, and a list of fund managers. (3) Organization of knowledge enhancement or training sessions for fund managers and related officers. (4) Calculation and
responsibility in the investment-related field of the mutual fund management company. 2.2 The mutual fund management company shall organize knowledge enhancement or training sessions for their fund managers and
firms demonstrated an improvement vis-à-vis the results from the previous inspection cycle. Such improvement was undoubtedly enabled by the formulation of audit firms’ root cause analysis process and