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
behavior that, if considered on a reasonable ground, indicates failure to discharge properly the duty to supervise a juristic person or a company under its management, or any personnel under its supervision
company passes a resolution approving the capital increase or allotment of new shares: No. Procedure Date/Month/Year 1. Board of Directors' Meeting No. 17/2019 December 3, 2019 2. The date for determining
https://publish.sec.or.th/nrs/3872se.pdf .... the Office in accordance with form and procedure together with supplementary documents as specified in the electronic work system of the Office. Clause 11 In
Conflict of Interest shall be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients