as disastrous results of creative accounting practices employed by listed companies in foreign countries (ex. Enron and Worldcom) led to an overhaul in auditor supervision where we witnessed a shift
decision on appropriate forms of alliance with foreign counterparts to support future trading linkage;2. Supervision of Securities Business: Licensing provisions would be amended to grant the Securities and
and introducing provisions for Digital Infrastructure Main Operator; (2) Supervision of Securities and Derivatives Business Operators: revising regulations for major shareholders of business operators
1. Ms. Sucha Boonyanate, currently Assistant Secretary-General for the Legal Division, will serve as Deputy Secretary-General overseeing the Fundraising Division and the Accounting Supervision and
Division comprises Intermediaries Supervision and Development Department, Intermediaries Inspection Department and Licensing Department. 2. Deputy Secretary-General Vasant Thienhom is in charge of the
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
Supervision Department.
experiences on applying technology and innovation to promote the development and supervision of the capital market. This event marking the fifth consecutive SEC Digital Services seminar took place on 18 October
regulation of digital asset businesses to enhance effective supervision of digital assets. The event took place on 24 January 2025 in Chiangmai Province.