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
Bangkok, October 2, 2015 The SEC has rolled out an initiative to enhance sustainability of the financial reporting ecosystem, which is paramount to the integrity and soundness of the Thai capital
each group of companies, an affiliate acting as the central company is the one whichsets out policies and business directions for all affiliates and associated companies within that group of companies
affecting the development of securities businesses in the capital market, both in Thailand and aboard, in order to lay out the landscape, securities business structure, policies and directions for promoting
enhance the efficiency of the existing provident funds. Essentially, the key principles of the amendments are as follows: 1. Fund management and structure: e.g., revising provisions to support the
six months to improve and develop necessary work systems in compliance with the governing regulations. ________________________
During January – March this year, the SEC conducted a public hearing on proposed amendments to the PVD Act to support the development of fund structure, enhance the member protection mechanism
executives’ compensation policy, method of determining the compensation packages, and structures of each compensation type;- To improve disclosure of the use of proceeds in filing documents to be more
Investor Code Working Group, which comprises the representatives from the SEC and the AIMC, is preparing the Code to be used as a framework for laying out policies and guidelines for operating business based
would not only improve the efficiency of debt offering supervision but also lighten the loads of debt issuers and maintain appropriate protection for investors. For such proposes, the SEC Office is