Bangkok, July 8, 2016 ? The SEC Independent Audit Inspection Activities Reports for the second-cycle period during 2013-2015 have shown significant progress in the quality control system of audit
reflected the SEC?s effort in the past years in implementing more stringent inspection on audit quality assurance system of audit firms. The quality of audit activities of Thai listed companies thus conforms
, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117
disclose the service quality information on Zipmex's website within the specified period in accordance with the notification. This case is under consideration of the public prosecutor. DAB Act S.30
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In addition to stricter professional standards, audit firms in the capital market are now required to comply with the International Standard on Quality Management (ISQM) 1 and ISQM 2, which have
trading behaviors that may indicate potential violations, as well as identifying patterns of fraud in listed companies and fraud monitoring methods. She also discussed the SEC's perspective on artificial
“Embracing Generative AI : Exploring Its Organizational Potential and Navigating Associated Risks from Key Stakeholders’ Perspective” (2) ฝึกอบรมภาคปฏิบัติ ภายใต้กิจกรรม Generative AI Governance และ กิจกรรม
At the SEC Meets the Press session today, Secretary-General Pornanong Budsaratragoon shared her perspective and vision for leading the SEC organization after recently assuming office. “I have taken
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนางาน ASIFMA Compliance Asia Conference 2022 ใน Panel 1: Regulators’ Perspective: Looking Back