by requiring the auditors to obtain prior approval from SEC. In addition, the auditors must be associated with the audit firms recognized by SEC. The auditors, however, shall not be director, manager

SEC has been supporting Thai firms in issuing Green Bond, Social Bond and Sustainability Bond. Over the past few years, international capital markets have developed SLB, a sustainable finance product

funds, venture capital firms, and ultra-high net worth investors. With respect to individual investors, SEC has received diverse comments involving restrictions on investment in ICO. Therefore, SEC will

businesses, B.E. 2561 on expectation to come into force on 16 July 2018.This notification will be enforced on those who will operate businesses as trading centers, brokerage firms and dealers for digital

. In addition, the SEC proposes to repeal the requirement for foreign auditors of equity issuers to be affiliated with audit firms in the same group as Thai auditors and to specify no provisions

evidence, complaints from 10 securities firms asking for legal actions against a number of persons, allegedly deceiving and defrauding the companies of the securities trading money, causing damage to the

special audit must be conducted by an auditor from any of the Big Four audit firms, and the report thereof must be submitted to the SEC and disclosed through the SET Electronic Information System within 30

a criminal complaint with the ECD Police against these firms and the related persons. In this connection, any person suffering damage from investment with the aforesaid persons should contact the ECD

? intention and brought about disputes between the clients and the investment consultants as well as the securities firms. Therefore, the SEC urges collaboration among investors not to make such authorization

-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains