* 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...
out derivatives positions before reaching expiry dates and open new positions of next trading series. The client also allowed her to make trading decision; however, did not clearly specify details of
investment policies, for example, the set-up fund fee, the management fee for the entire duration even when reaching the trigger point ahead of schedule, or the trigger redemption fee. Also, the new rules
sent a letter to the bond issuer to demand immediate repayment of the bond reaching maturity. The SEC requires that the bondholder representative analyze the benefits and shortcomings as well as the
reports on audit quality control systems for audit firms to reflect and improve on their audit quality. Meanwhile, stakeholders in the financial reporting ecosystem, especially the audit committee
The SEC proposed to amend the regulations relating to annual fee regime for intermediaries to improve equality of fee rate among intermediaries operating the same activities and to ease the burden
undertaking digital asset businesses wherein experts from CMKL University gave advice on how to improve the process for considering applications and granting digital asset business licenses. The