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

Board?s (FSB) key standards for sound financial systems and serve as a standard for governments and regulators worldwide. Over the last two years, the OECD conducted an ambitious and inclusive review of

crisis. However, in promoting high CG standard among listed companies, real benefits and burden costs should be taken into account. Asst. Prof. Pradit Withisuphakorn, researcher, Faculty of Business

List of head of Compliance Please wait... List of head of Compliance   No. Company Name Commencement Date Securities Company Asset Management Company Investment Advisory Company Derivatives Brokerage

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

Notification of the Office of The (Translation) PAGE (Translation) -4- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

Notification of the Office of The (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand

Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries

Following a referral from the Stock Exchange of Thailand (SET) in 2023 and the SEC’s further investigation, the findings and evidence indicated that during 3 – 14 November 2022, before the inside

According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during the month of May 2018, Kitti knew or possessed the inside information