reviews and revisions in going forward. In this connection, related supervisory policies and measures were endorsed by both parties. “This collaborative meeting is a good opportunity for reinforcing
Bangkok, April 25, 2012 ? The SEC is seeking public comment on the draft regulation with a view to strengthening role of compliance unit of business operators in the capital market (securities
Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of personnel. The SEC also proposed to emphasize significance of ?compliance officer? by requiring LBDU l...
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานแถลงแผนยุทธศาสตร์ ก.ล.ต. ปี 2564 – 2566 ภายใต้แนวคิด “Strengthening Resilient Future” โดยนายอาคม เติมพิทยาไพสิฐ รัฐมนตรีว่าการ
นางสาวจอมขวัญ คงสกุล ผู้ช่วยเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในงาน Virtual Conference Strengthening ESG Investment/Sustainable Investment under the COVID
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...
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานเสวนา หัวข้อ “Strengthening Good Corporate Governance by Audit Committee and Independent Director: Experiences from Fraud Cases
Issues and Challenges” under the Strengthening Corporate Governance of Listed Companies Initiative. The seminar aimed to reinforce the role of financial advisors as gatekeepers in preparing companies for
engagement when appropriate; and (7) disclosing stewardship policy and activities.The I Code could also be a useful tool for strenthening local institutional investors? competitiveness in the global market
at ATMs. Strengthening of customers’ data protection and privacy management: A working group was set up to study and progress action to comply with the personal data protection law which will come