The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
* and Form 56*. These rules have caused an unreasonable burden on these companies. SEC therefore plans to improve these rules to facilitate holding companies, which engage in various types of business
As part of continuing efforts to support market confidence and business integrity, the OECD has launched in Asia a new set of corporate governance principles that were endorsed at the G20 Finance Ministers meeting in September 2015. The G20/OECD Principles of Corporate Governance provide recommendations for national policymakers on key corporate governance issues, such as shareholder rights, executive remuneration, financial disclosure, the behaviour of institutional investors, boardroom practic...
includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
The SEC Strategic Plan 2024–2026 prioritizes the strengthening of Thai capital market trust and highlighting the critical significance of investor confidence in cultivating a robust capital market that serves as a channel for fundraising of businesses and investment for investors. Ultimately, the goal is to achieve sustainable development, reduce inequalities. Recognizing the importance of complete, transparent, and timely IPO information for investors’ informed decision-making, the SEC aims to...
Bangkok, 8 November 2017 ? The SEC is seeking public comments on the draft amendment to the Ministerial Regulation for Securities Business Licenses to provide flexibility and support new businesses in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to replace the current regime whereby each license represents a bundle of business undertakings, which proves...
amendments contain the following provisions: 1. Cancel the approval application procedure, retain information disclosure in the shareholders' meeting notice, and require the opinion of an independent
. Essentially, the proposed amendments to the PP offering regulations would: (1) Cancel the approval application procedure, retain information disclosure in the shareholders' meeting notice, and require the
standards. The MOU with the DSI aims to enhance collaboration for prevention and suppression of offenses related to special legal cases to improve enforcement efficiency. Such mutual effort will focus on
for investigation. Given such circumstances and the fact that criminal procedure takes a long time, it has been difficult to bring a market misconduct offender to justice.?The approved amendments