to strengthen compliance Promote transparency in the initial public offering (IPO) share allocation process ● Required issuers to disclose their allocation methodology and clearly identify in the
, recognizing that flexibility is required in corporate governance as „one size does not fit all‟. Such analysis should be viewed as an important tool in the process of developing an effective corporate
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
, responsible and transparent corporate governance practices. Such analysis should be viewed as an important tool in the process of developing an effective corporate governance framework. To this end, effective
revision process. The final Draft Act will be submitted according to the National Legislative Council's procedure in due course.?In addition to the legislation, the SEC is simultaneously working to remove
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best
the universal standards into the organization's Code of Corporate Governance Handbook. The Board, the Management and the Staff are required to abide by the Code while performing their respective