Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing su...
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
other companies and business partners to establish and implement anti-fraud and corruption measures. Principle 5.3 The board should ensure that management allocates and manages resources efficiently and
Conduct containing the following measures: 1. QUALITY AND INTEGRITY OF THE CREDIT RATING PROCESS A. Quality of the Credit Rating Process 1.1 A CRA should establish, maintain, document, and enforce a credit
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
Notification to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable securities clearing houses and central securities depositories to practice in a
Process 1.1 A CRA should establish, maintain, document, and enforce a credit rating methodology for each class of entity or obligation for which the CRA issues credit ratings. Each credit rating methodology
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the