improvements in corporate governance (CG) regulation, makes policy recommendations, and provides investors with a benchmark against which to measure corporate governance in Thailand. It is an update of the 2005
the capital market were taken care of to ensure that they would be able to continue functioning seamlessly. In this regard, building a quality financial reporting system in compliance with international
by account officers. This is particularly important because over 70 percent of the equity trading volume is generated by individual local players. Individuals are naturally very sensitive to news
quality control systems are more likely to produce high quality audits. In light of this observation, it is crucial that when audit committees select an auditor, the quality of the audit works and the
able to also sell shares with warrants, instead of selling shares alone. In this regard, a securities company may appoint a financial institution as its selling agent if it is the case of (1) shares
execution according to market conditions; (3) report or inform the results of the performance, with adequate details and within proper time, to the client. Clause 44 In case it is necessary to engage in
execution according to market conditions; (3) report or inform the results of the performance, with adequate details and within proper time, to the client. Clause 44 In case it is necessary to engage in
deemed to be an indirect investment under Clause 12/1, there shall be an appraisal of the instrument or the agreement in accordance with the rules in (2); (4) it shall be demonstrated that there is a
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
of responsibility or caution, or reflecting unfair or incredible manner, except where it is proper, the Minister upon the SEC’s recommendation may give a waiver of such disqualified characters to such