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
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...
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
engagement performance and audit quality. For future plans, the SEC will continue to carry out the initiatives to strengthen the capability of all stakeholders. In 2020, a focus will be on proactive increase
appropriateness of risk assessment when accepting new engagement. In some cases, the firms did not evaluate the competency, the capability, and the sufficiency of its available time and personnel before accepting
quality audits could be achieved for all of their engagements. 14 factors when deciding whether to accept new audit clients. For instance, an audit firm did not consider its capability before accepting an
proposing to review the regulations governing debt securities of all types and related notifications. In essence, the proposed amendments to the debt securities regulations concern the followings: (1
Prime Minister General Prayut Chan-o-cha. Established in 1966, UNDP Thailand Office plays a role in promoting national development and capability of Thai organizations to achieve the SDGs through various
Amnucksoradej, acting Director of the Division of Industrial Business Capability Development, Department of Industrial Promotion, presided over the seminar. SEC Deputy Secretary-General Sirivipa Supantanet
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members