, IOSCO has requested the cooperation of platform service providers to support and collaborate with regulators in their respective countries to prevent and combat online investment scams. IOSCO has also
to combat fraudulent activities and protect the public from further harm and loss.From left : (1) Budsara Trithipcharoenchai, Senior Executive Vice President of Capital Market Development Fund, (2
money laundering. ?FATF assessments on preventive measures for anti-money laundering and combat against financial terrorist in the area of Thai securities businesses showed a satisfactory result, as the
Certification of audit firm leader Date……..Month………….Year………… Dear Secretary – General of the Securities and Exchange Commission I, Mr./Mrs./Miss………………………………………………….… (leader’s name), the leader of
an opinion on audit reports; 2.2 being affiliated with an audit firm that has an audit quality control system and the required number of personnel; 2.3 meeting other requirements, e.x., not having
alerts, and further enhances collaboration with the AOC to combat fraudulent schemes. SEC Secretary-General Pornanong Budsaratragoon said: “The SEC is fully aware of the urgent issue of fraudulent
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management