’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk
SEC Secretary-General Rapee Sucharitkul revealed that “the financial reports are crucial for investors’ investment decision-making. The independence of auditors, which plays an important role in
SEC has revised regulations regarding outsourcing, to provide more opportunities for business operators, such as, securities business providers, asset management companies, and derivatives business
With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their
financial advisor independence from the target company and the tender offeror with regard to fair value appraisal. The consultation paper is available at www.sec.or.th. Stakeholders and interested parties
SEC Secretary-General Rapee Sucharitkul revealed that “independence of the auditor is a key factor in establishing the reliability of the financial reports. When the international standards on this
Advisory Committee, to further enhance supervisory independence in line with international standards, and to increase recognition from international audit organizations. The proposed amendment aims to revise
transparent and fair management in line with international standard good governance guidelines, we are building trust and confidence of in all parties involved, including stakeholders and market participants