Pursuant to the MOU, SEC and TGO will cooperate in sharing knowledge, communicating and giving advice to listed companies, securities issuers or business operators under SEC supervision regarding the

The MOU reaffirms mutual intention to promote and support provision of pools of knowledge for listed companies and regulated entities under the SEC supervision to enhance their awareness of the

.? [The average scores range from 5 (the lowest) to 1 (the highest)]. Major issues found among the inspected audit firms included non-compliance with auditing standards and inefficient work monitoring

leading to lower operating costs. Additionally, the SEC will use RegTech for a better regulatory supervision and place high importance on cyber resilience. Strategy Two: To promote the Thai capital market

staff sufficiency to ensure work efficiency, including monitoring and supervision of the subsidiaries to prevent exploitation of asset owned by the Company or subsidiaries resulted from misconducts of the

On 15 June 2023, the SEC took part in the MMoU/EMMoU Monitoring Group meeting, in which IOSCO members’ information sharing and assistance under the MMoU/EMMoU framework was reported, and made an

monitoring and coordinating with the business operators, we have found that they have implemented their BCP to manage possible impacts of COVID-19 and opened an alternative site or installed remote working

and underwriting of investment units and securities borrowing and lending.  This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is

and effective system for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC

for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.283 paragraph 1