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...
in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well
Bangkok, April 10, 2014 ? The SEC is seeking public comment on relaxing a unit holding limit where any person or group of persons is allowed to hold not exceeding one-third of all units in a mutual
-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well as the capital market system.The consultation paper is available on
Bangkok, 25 May 2017 ? The SEC and the Business Software Alliance (BSA) will jointly organize a seminar on ?Boards? Roles in Mitigating Cyber Security Risks/Threats: Challenges and Solutions? this
companies of relevant guidelines to be implemented in the same direction. For example, guidelines for mitigating the risks of COVID-19 spread when AGM is held and guidelines for supporting proxy voting. In
flexibility, aligning them with the feedback received while mitigating unintended consequences. The SEC is, therefore, seeking public comments on the drafted regulations*. The primary proposed regulations
ever-growing asset management business by, for example, relaxing several requirements. In so doing, appropriate investor protection is maintained, and more investment choices promoted.? Such amendments
issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control system by the Audit Firm (internal monitoring) (1) Name of
, the Code of Ethics for Professional Accountants, and the issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control