service sectors in the capital market. The SEC has closely monitored the situation and consistently cooperated with related parties to keep informed of the impact level, consider relaxation of rules to help
in capital market under both laws, (4) reviewing the coverage of business operators that subject to provisions on the appointment and approval of auditors, (5) amending the corporate status of the
sanction on the capital market auditor in the Securities and Exchange Act and to repeal and replace the provisions on renewal of the approval of the capital market auditor every 5 years with a permanent
give more emphasis on this matter.” In this regard, SEC is proposing an amendment to the rules on renewal of approval for personnel in capital market businesses whereby an ESG course would be
principles for amending the Securities and Exchange Act B.E. 2535 (1992) in three major areas, namely: (1) the granting of approval to audit firms and auditors in the capital market, (2) the collection of
Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market, dated 23 September 2010.
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC
The initiative forms part of the SEC’s policy efforts to strengthen the capital market as a viable source of funding and an important mechanism for supporting small and medium-sized enterprises (SMEs
related parties to increase efficiency, under the Strong Listed Companies Project, which was initiated around 2022 year-end and is expected to propose for the SEC Board’s approval this July.” Mr