the committee to review the work of financial advisers. Moreover, in considering material facts regarding the contravention of laws, rules, and regulations, the SEC https://www.sec.or.th/EN/Documents
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conducting this public hearing on the proposed principles and draft amendments, with the key points as follows: (1) To improve the work process and operation related to investment policy
business work systems. The SEC Board has passed a resolution approving the proposed amendments to the digital asset business licensing process and endorsing the proposed amendments to the regulations
According to the findings from the SEC’s investigation, Longroot failed to maintain the qualifications regarding financial position, management structure, and work systems throughout the approval
market regulatory agency; (2) The SEC will consider the participants’ qualifications in various areas, including capital adequacy, work systems, management structure, and conditions for relevant
six months to improve and develop necessary work systems in compliance with the governing regulations. ________________________
but also reduce partial costs for audit firms. But In any case, each first-time applicant is subject to the SEC’s strict audit work quality screening process in accordance with the international
the capital market must be attached to the audit firms which have a work system in accordance with the quality control standard. However, in the current structure of laws pertinent to the audit
products faster and more conveniently. The Single Form will be used, starting from 1 July 2021. Intermediaries must set up a work system to support the use of such form. In addition, the SEC supports the