fortify the firm’s quality control system. The SEC believes improvements on the following issues would further strengthen this element of the firm-level quality control. 13 Risk assessment during client
. Ex post rights allow the seeking of redress once rights have been violated. In jurisdictions where the enforcement of the legal and regulatory framework is weak, it can be desirable to strengthen the
. On July 29, 2006, an SEC workshop was held to outline the Three-Year Strategic Plan (2007-2009) and set up core strategies for the Thai capital market to strengthen regional competitiveness, the
established entities to oversee state-owned enterprises (SOEs) (for example, Temasek Holdings in Singapore, Khazanah Nasional in Malaysia, and the State-owned Assets Supervision and Administration Commission of
largely to healthier growth of exports and tourism, especially in the first half of the year. Meanwhile, the government continued to implement measures to promote and strengthen the domestic economy through
continual satisfactory growth. The SEC, as regulator and facilitator, remains committed to oversee and develop the Thai capital market to attain efficiency, transparency, integrity and be able to compete
under its responsibility Ensure that units offered for sale exclusively for high net worth investors are not allocated to retail investors Oversee to ensure that the trust is not becoming a private trust
other institutional investors to oversee the investees, encourage them to seek solutions or make changes based on good corporate governance principles to create long-term benefits rather than short-term
category is a pooled fund contest.The AOP will appoint an ad-hoc contest committee to oversee the application and the documents, any qualified party will advance to the interview round. The total scores
, (2) single funds of private companies, and (3) pooled fund of asset management companies.The AOP will appoint an ad-hoc contest committee to oversee the application and the documents, any qualified