possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
on related party transaction. Audit committee shall have independence as basic qualifications as required by the SET notification, meaning that audit committee shall be independent director. Q: Can
member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
Operator must submit a completed Form 35 – NRI CIS in hard copies accompanied by all supporting documentation as specified in Form 35 – NRI CIS to the SEC Thailand for the ASEAN NRI CIS. 2. ASEAN CIS
only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting documentation as specified in Form 35 – foreign ETF to the SEC Thailand for the
Regulatory Summary Required documents for an approval of Foreign ETF (for inbound only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting
Regulatory Summary Required documents for an approval of Foreign ETF (for inbound only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting
abreast of developments and emerging risks, conflicts of interest management in capital market, auditor's independence, auditing standards, credit rating agencies, sell-side analysts, and hedge fund. - The
abreast of developments and emerging risks, conflicts of interest management in capital market, auditor's independence, auditing standards, credit rating agencies, sell-side analysts, and hedge fund. - The