To break or not to break: Evidence from price discovery process of Thai stocks during the pre-opening of each trading session To break or not to break Evidence from price discovery process of Thai
information. • Managing conflicts of interest The SEC Code of Conduct and the procedure for managing conflicts of interest are incorporated into the Code of Governance to enhance the boards’ duty performance
involved are capable and collaborative that the financial reporting system would yield the much needed result of high quality financial reports. Being main contributors in the financial reporting process
effective policies, guidance and tools to enhance audit quality, such as audit manuals, audit programs, engagement review and supervision, consultation process, EQCR, and files archiving. Our 2015 inspections
for the appropriate services and will also enhance decision-making process of investors. With this development, investors can now compare the information pertaining to the ratings between both agencies
. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
by CFC process? Does the alleged consent to extinguished the case by CFC process The SEC Office presents the case to CFC for consideration. CFC considers and imposes a fine. Does the offender pay the
Appellate Committee 70 Sub-committees 76 Other Committee and Steering Groups 78 Arbitrators 79 Procedure for Investigation of Possible Contraventions of the SEC Act and Criminal Action 81 Financial Statements
company (“AMC”) to easier receive unitholders’ resolution in revision or modification of mutual fund project or management procedure Amendments Details 2.1 Imposing fiduciary duty of AMC in mutual fund