serve as the basis for the Guidelines on corporate governance of banks issued by the Basel Committee on Banking Supervision, the OECD Guidelines on Insurer and Pension Fund Governance and as a reference
Bangkok, 23 February 2017 ? The SEC has launched the Investment Governance Code (I Code) as a guideline for responsible and sustainable investment management of institutional investors. The seven
(IOSCO), such as having the structure for supervising the Association to reflect good corporate governance, setting criteria for member subscription and for member supervision with transparency
For derivatives business operators to have sufficient time in preparing their operating systems, the SEC approved draft rules governing derivatives agents with requirements as follows: Readiness of Business Operation: Derivatives agents must have in place (1) clear organization structure, (2) working system that prevents conflict of interest and the leak of information, (3) risk management system, (4) operational and IT management system, (5) database system, and (6) compliance system. Beside...
The SEC approved the supervision guidelines for provident fund management business as agreed by the Association of Investment Management Companies (AIMC) with a view to enhance asset management
Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE
investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing sustainably in accordance with good corporate governance. In addition, both parties cooperated to build a
exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of financial advisors to ensure that the aforesaid companies will be able to grow sustainably while complying
market, including the supervision of securities settlement systems, is fundamentally sound, secure, efficient and reliable. They also recommended that the following identified deficiencies, mostly in the
Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in