board‟s responsibilities inherently demand the exercise of objective, independent judgement. However, given the ownership structure in Asia, directors often remain appointees of controlling shareholders
capital market supervision is crucial and necessary. The regulations under this Notification set a standard for operation of securities clearing houses and central securities depositories so that their
, the resources of supervisory, regulatory and enforcement authorities may come under strain. As a result, in order to follow developments, they will have a significant demand for fully qualified staff to
corporate governance frameworks reduce investor confidence, and can discourage outside investment. Also, as pension funds continue to invest more in equity markets, good corporate governance is crucial for
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
Fund Approval and Management System (“OFAM”). In addition, the amendment would expand channels for announcement of dividend payment such as websites of asset management companies. The paperless
Contact Information Sensitive Data Qualification data Financial Data Verification data: 1. Information service and action under court warrants; 2. Action in criminal cases, imposition of civil sanctions
the committee to review the work of financial advisers. Moreover, in considering material facts regarding the contravention of laws, rules, and regulations, the SEC https://www.sec.or.th/EN/Documents
arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and