Board’s Meeting No. 3/2563 held on 3 March 2020 chaired by SEC Secretary-General Ruenvadee Suwanmongkol, the Meeting has considered the guidelines for enhancing the securities companies’ capability and

under Royal Patronage to help lawyers sharpen their capability about class action in capital market cases so that they will be able to deliver justice for investors who were wronged by persons that went

SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by

The enhancement of fund managers’ duty performance in accordance with I-Code** will be  supported by Thailand ESG Data Framework – an initiative under the AIMC Three-Year Sustainable Roadmap. The Capital Market Development Fund  (CMDF) renders financial support to this initiative. Morgan Stanley Capital International (MSCI), an international consultant, is commissioned to study and develop a data framework that is suitable for the context of Thailand and in line with international standards. The...

severity and any delays in resolving them would reflect poorly on the ability of firm leaders to discharge their responsibilities successfully, resulting in the SEC lowering the score of their TSQC1 element

experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and

turnover in busy season? 4 How does the firm address concerns regarding the competence and capabilities of engagement team members, including ensuring they have sufficient time to perform their

create confidence among investors using its services, by enhancing the ability to be prepared for and respond to cybersecurity threats (Cyber Resilience), the framework of oversight and interesting Cyber

related sectors, both public and private. The need of SMEs to improve their capability to increase their attractiveness and competitiveness aligns with OSMEP’s policy direction that focuses on 3 issues

, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with