operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily
(UNOFFICIAL TRANSLATION) (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily
The SEC has received excellent results in the CRMS Assessment for the year 2023 from the PACC* in the areas of approval related operation, which demonstrated the SEC’s commitment to driving and
major areas, namely (1) improvement of business operation in such areas as data storage system, management system, custody of clients’ assets and sale promotion advertising, (2) reporting of duty
Under the previous MoU, the UK and the SEC Thailand worked together with the UK providing technical assistance in areas including accounting standards, the development of financial technology
website also provides information on corporate social responsibility and anti-corruption gathered from relevant authorities. Assessments in the said areas both at the country and corporate levels have been
requested. The survey results indicate top-three findings in the audits of public companies in the areas of fair value measurements, internal control testing, and engagement quality control reviews
UNOFFICIAL TRANSLATION (SEC logo and contact information) 8 August 2014 To Managers Securities companies Asset management companies Derivatives intermediaries No. Kor Lor Tor. Kor Thor. (Wor) 23/2557