daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
: Rules, Conditions and Procedures for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange
supervision, the SEC requires all auditors in the capital market work with audit firms having quality assurance systems and expects to complete examination on audit quality of all 26 audit firms within this
Mrs. Pornanong Budsaratragoon, SEC Secretary-General, said: “This legislative amendment involves improvements across multiple areas, from increasing efficiency in short-selling supervision to ensure
the top” approach. This supports and drives practical cyber resilience within organizations. Therefore, the SEC has been holding annual cybersecurity workshops for directors in the capital market sector
The SEC emphasizes the monitoring of risks related to capital market and the development of digital capital market, covering the areas of supervision, service provision of business operators, and