audit firms. The special audit report must be submitted to the SEC and disclosed through the SET Electronic Information System within 30 days.  _____________________

network in Asia. It opens up new business opportunities for fund management firms and broadens cross-border investment channels and choices for investors,” said Mr Ashley Alder, the SFC’s Chief Executive

firms must be well-prepared for all dimensions of business risk associated with changes which affect stability of the companies and the capital market.? said Vorapol.

investment advice and disseminating analysis reports and information of listed firms to investors. Hence, the ASCO and securities company members always place high importance on corporate governance and

clarity and more confidence that securities firms will adhere to international standard guidelines and effectively prevent inappropriate actions. ________________________

centers, brokerage firms and dealers for digital assets, effective from 16 July 2018. SEC Secretary-General Rapee Sucharitkul said that SEC has issued the notification relating to business operations of

volunteer roles in exercising voting rights effectively and in accordance with good corporate governance principles in the 2015 Annual General Meeting (AGM) of listed firms. In 2015, TIA agrees with the

DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22

professional ethics, the provisions of law relating to auditors, and the SEC regulations. Furthermore, registered auditors shall work for audit firms that have an audit quality control system in compliance with

special audit must be conducted by an auditor from any of the Big Four audit firms, and the report thereof must be submitted to the SEC and disclosed through the SET Electronic Information System within 30