the requirement for audit firms to conduct information technology auditing by IT specialists, the most respondents agree. The SEC has drafted relevant regulations by taking into consideration the
instructed the special case inquiry official to conduct further investigation.On 24 January 2024, the SEC, led by Mr. Thawatchai Pittayasophon, Deputy Secretary-General, and Ms. Pattanaporn Tripipat
Capital Market Supervisory Board No. Tor Thor. 8/2567 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
disclosure and risk warnings on such issues to ensure consistency and proper conduct by DA operators. The essences are as follows: (1) DA operators must disclose the risks on their financial condition
’ equity falls below zero. In case of any irregular trading activity, SET is the frontline inspector and, if it is considered a liable offense, will gather information for SEC to conduct in-depth inspection
. --------------------------------------* Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities
The meeting discussed significant and challenging issues such as harmful, but legal conduct. In this regard, the SEC Secretary-General shared her view on the importance of information disclosure
business operator after license revocation, and (6) stating the scope on supervision of infrastructure service providers in the capital market which would allow the operators to conduct their business
reference to reliable sources and according to the code of professional conduct, including provision of investment advice on specific securities through any channels. ----------------------- * Violation of
Bangkok, 23 June 2017 ? The SEC has ordered Polaris Capital Public Company Limited (POLAR) to have an auditor conduct a special audit on the sources, existence and completeness of its accounting