market funds are likely to grow in size and emerge as an alternative for people looking for the place to park their cash.However, money market funds are currently subject to more stringent rules than other
issued bonds. Actually, current circumstances tend to support corporate bond issuance; for example, low interest rate, more stringent practices of financial institutions in loan approval and decrease in
In addition to stricter professional standards, audit firms in the capital market are now required to comply with the International Standard on Quality Management (ISQM) 1 and ISQM 2, which have
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
system in safeguarding clients’ confidentiality. The SEC therefore urged EY to rectify the system to be more stringent and the company has already done so. In addition, the SEC has sent a circular to all
management system suitable for business types and risk profiles. However, a stricter work system than legally required is welcome as well.? As a frontline compliance supervisor, intermediaries are also
channel as a tool to evade or contravene the governing law and regulations (regulatory arbitrage) on the undertaking of investment management business,* which prescribe stricter supervision. For example, it
number was long-term bonds. In recent times, SEC has been revising and changing bond-related regulations to become stricter, increasing the protection of the investors by making it mandatory to provide
, these efforts aim to enhance supervision, improve responsiveness, and increase efficiency in order to mitigate systemic risk effectively.Furthermore, the regulatory and measure review includes stricter
compliance with international standard sustainable investment criteria, and subject to stricter oversight than other regular mutual funds. Once established, Thai ESG Funds must set an investment policy and