mutual understanding that the information is shared confidentially. The Principles are high-level objectives that CRAs, regulators, rated entities, obligors, underwriters, arrangers, and other market
the Stock Exchange of Thailand, the Association of Thai Securities Companies, the Investment Banking Club, the Association of Investment Management Companies (AIMC), as well as high-ranking officials
by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a mutual understanding that the information is shared confidentially. The Principles are high-level
similar period of time; (4) Placing, modifying, or cancelling a securities trading order during the pre-opening or pre-closing period of the Securities Exchange or the over-the-counter center, as the
average of all stocks held by each fund in December 2016. Ranking based on P/B ratio. High P/B = growth stock. Ranking based on past 12 months returns. …but in Thailand, small cap and value stocks tend to
: This inspection cycle results shows that each audit firm pays attention to 1) the capacity building of its staff and remedying of high turnover rate, 2) improvement of audit manual to be more descriptive
draft guidelines of the Association that has been approved by SEC*. The guidelines contains details on :1) preparation of the service model responsible by a high-ranking executive officer; 2
: The SET shall comply with the regulatory objectives and the operating rules of securities exchange. In issuing, revising or modifying its rules and regulations, the SET must conduct a hearing session
are allowed to also inform the SEC of the names of foreign business operators instead of only the names of the foreign personnel as previously required; 2. Modifying the requirements for notifying the