In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business providers are still responsible for any actions operated by the outsourced company while the outsourced company must also have the readiness in both personnel and the operating system, and such operation must be under appropriate supervision.SEC is revising the regulations regarding supervision of...
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon, along with SEC executives, held a joint meeting with the Custodian Club, led by President Utumporn Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trad...
and Communications, Naresuan University SEC Capital Market Symposium 2022 November 22, 2022 Motivation Explaining Value Data Results Conclusions Value Investing • Security Analysis by Benjamin Graham
measures that the SEC and the SET have revised to elevate the quality and good governance of listed companies. Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and Dr. Pakorn Peetathawatchai, SET
the TSQC 1 as ‘acceptable.’ Audit firms conducted root cause analysis and implement action plan to elevate the quality of quality control system in response to the SEC’s findings. Some audit firms
company Regulatory Summary Objectives EJIP is a program which creates returns for directors and employees to create motivation to work and build the sense of ownership of the company. It is similar to
elevate their audit work quality to be on par with bigger audit firms. This means the work plan that the SEC supports is a success and the quality of small and medium-sized audit firms is on the rise. In
Investor Strategies for Incorporating ESG Considerations into Corporate Interactions www.blackrock.com www.ceres.org Century21st Engagement Investor Strategies for Incorporating ESG Considerations into Corporate Interactions [ 5 ] FOREWORD The Value of Our Voice ......................................................................................................................................... 1 How ESG Megatrends Are Shaping Valuation ...........................................................
a Risk-Management Framework Motivation • It is important for an income earner to set a self-discipline saving rate in her financial plan so that the long-term objective is not compromised by myopic
Motivation • The measurement of asset value is arguably continuous, but trades can only occur at discrete prices. • Would the changes in tick sizes affect trading behavior of different investors? Motivation