data-driven supervision whereby responses to change will be faster and risks exposed to investors and the financial system will be managed in a more timely manner. In so doing, we change the mindset and
, that audit quality will not be compromised as the SEC will require both groups of auditors to work for audit firms that perform and equip with quality assurance system in compliance with professional
securities companies, ASCO can reaffirm that all securities companies have operational system to monitor proprietary trading. ASCO has issued measures to take care of the matter while the SEC regularly
it has already been disseminated via SET electronic system; (3) The following cases will be exempted from filing of every five percent report:- Borrower and lender in securities borrowing and lending
keeping of investment advice and trading orders, as the evidence indicated that she had regularly made contact with the client through tape recording system and was able to take client's orders through such
. Apart from oversight of individual auditor quality, the SEC has established an effective supervisory model of independent oversight to monitor audit firms? quality assurance system since 2010. For more
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
accessed the company's system to review the trading information without any objection. The actions of {B} and {C} were deemed as obtaining authorization from client to make securities trading decisions on
channels. Less than 20 percent of funds are sold through an open-architecture system. Moreover, media outlets should disclose costs or help promote long-term investment. Vorapol Socatiyanurak, SEC Secretary