influence and corruption permitted wrongdoers to escape punishment. Policy-makers should bear in mind that the credibility of a corporate-governance framework rests on its enforceability. To build this
stakeholders’ awareness of the importance of audit quality. This will urge audit firms to further improve their audit quality and strengthen confidence in the financial reporting system and the Thai capital
system interconnection or those providers/partners who can access critical data of a business operator or those of its customers. The consultation paper is available at https://www.sec.or.th/TH/Pages
shareholder meeting in key company decisions. The chapter also deals with disclosure of control structures, such as different voting rights. New issues in this chapter include the use of information technology
example, they must ask the clients to do suitability test before giving advice. In this regard, the SEC updated the progress of upcoming regulations on Basel III additional tier 1 and tier 2 instruments
who has at least 50 million baht in total assets or 4 million baht in annual income or 10 million baht investment in securities , the amount of which can be combined with spouse?s) , or (ii) a juristic
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1
Phuvanatnaranubala said: ?There is a wide range of mutual funds available in the market, each with different level of complexity and risks. Classifying funds based on such factors would help investors make informed
banks face financial problems. As a result, the floor conversion price has been standardized to reduce complexity and enable investors to learn of the highest exposure. In addition, banks will be able to
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her