regional regulators on new challenges that could have an impact on the balance between effective supervision and financial innovation.The seminar took place in Bangkok during 22 - 26 August 2016.

supervision and trustworthiness of listed companies? financial reporting. Vorapol Socatiyanurak, SEC Secretary-General said that ?Following the 2010 revamp of audit oversight to require SEC-registered auditors

auditors.? The Auditing Advisory Committee comprises both current audit practitioners and non-practitioners. Its major role is to render advice to the SEC regarding supervision and inspection of audit

Bangkok, January 21, 2016 ? The SEC is seeking public comments on draft amendments to the regulations concerning supervision on trigger funds and product advertisement.The proposed amendments to the

. The REIT supervision would be relatively similar to that of listed companies. For instance, an acquisition or disposition of key assets and related-person transactions must be approved by the trustee

การณ์ของตลาดทุนในปัจจุบัน โดยได้จัดตั้งฝ่ายกำกับธุรกิจแนะนำการลงทุน (Investment Advice Supervision Department) เพื่อกำกับดูแลผู้ให้บริการด้านคำแนะนำและการขายหลักทรัพย์แก่ผู้ลงทุน ซึ่งเดิมเป็นหน้าที่และ

's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the

campaign aims to promote investment literacy and build immunity for the public and investors, helping them become aware of fraudsters and stay away from increasingly complex threats in the online world. It

to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and

. The acts of Mr. Pattarawut Thunyajaroen, therefore, constitutes an offense by planning a series of complicated actions with a view to unduly gaining clients’ assets;              (3)  In the case of