the Thai capital market in line with international standards to increase transparency in auditor supervision, trustworthiness of listed companies? financial reporting and international recognition. This
between the SECC and SEC Thailand to work on the process of implementing the cross-border equity offering and the issuance of DR and will also cover the issuing guidelines to provide guidance for issuers
, guidelines, service provider supervision, risk management, and business continuity measures. However, outsourcing does not discharge business operators from responsibility in the outsourced activities
accredited investors. In this regard, certain qualifications such as audit work experience, past experience in certifying financial statements, and size of company, may be relaxed. It should be noted, however
costs on the existing platforms, for example, crowdfunding.?In promoting effective supervision, the SEC continues to focus on three areas, namely (1) regulatory discipline, (2) self-discipline of
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that
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