Pacific Award under the Regulation and Supervision Awards Programme 2025, organized by The Asian Banker. This recognition highlights the SEC’s outstanding efforts in enhancing transparency and integrity in
additional information and facilitate the SEC Office’s officials or assignees in conducting a site visit and inspection over the audit quality control system of the audit firm where I work for, for the benefit
web site. ________________________ Remark: * Business operators with granted licenses mean the business operators under the supervision of the SEC pursuant to the Securities and Exchange Act
the area of capital market. Furthermore, FAP will give advice, conduct on-site visit and improve their audit quality in accordance with Thai Standard on Quality Control (TSQC 1), Quality Control for
Knows” (Know Oneself, Know Others, and Know Own Risks), and the “5 Don’ts of Investment.” The event took place during 26-28 August 2024 at Kasetsart University, in Bangkok.Ms. Nuchanat Detsomboonrat
;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
Mrs. Pornanong Budsaratragoon, SEC Secretary-General, said: “This legislative amendment involves improvements across multiple areas, from increasing efficiency in short-selling supervision to ensure
digital token holders.The SEC has therefore amended the regulations governing supervision of real estate-backed ICO, as part of the short-term implementation plan to tighten supervision of digital token