process to achieve that goal. SEC has proposed to hire a researcher to conduct a study on the legislations relating to audit firms and auditors supervision in foreign country which will be taken into
The management of two agencies discussed on enhancing cooperation between SEC Thailand and the SECC for capital markets development and supervision. This included encouraging listed companies from
must be under appropriate supervision.SEC is revising the regulations regarding supervision of outsourced companies, no matter how many outsourced companies are involved in an operation, for them to
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For
Techamuanvivit, Director of the Investment Management Supervision Department4. Ms. Chutima Leelajindamai, Director of the Legal Department – Corporate Finance5. Mr. Songyod Bunjoungmanee, Director of the
Notification of the Capital Market Supervision Board No. 21/2551 RE Rules on Connected Transactions and the Notification of the Stock Exchange of Thailand re Disclosure of Information and Practice of Listed
broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as prescribed and notified by the SEC Office, the SEC
revoked; or in the case that the derivatives broker is part of a financial conglomerate with its shareholding structure, internal group audit and supervision carried out by another regulatory body as
internal audit report concerning cost of sales and inventories which were raised by the auditor. The said opinion must be submitted to the SEC within 5 working days from the date on which the audit committee