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officials or make an appointment for consultation service at SEC office without any charge.”Simultaneously, SEC has also improved its internal work process in receiving information, clues and complaints
code of ethics for SEC workforce in line with the intention of the Ethical Standards Act. The drafted code of ethics contains regulations which require the workforce to perform work and uphold ethics
must work full-time in Thailand and have specified educational background and working experience. Business operators will also be required to specify, in writing, clear responsibilities of compliance
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
include experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international
characteristics. Clause 22/22 The provisions under Clause 22/1(1) and (2), as the case may be, shall not apply to the applicant who has amended or changed the cause, the work system, the management system and the
any person holding an equivalent position but called otherwise, who are responsible for a line of work relating to the offering of securities services, the securities operation or research on securities