Bangkok, February 13, 2012 ? The SEC is seeking public comments on draft revisions to the regulations governing approval for valuation companies and principal valuers for public purposes associated

suitability test. Due to their high level of sophistication, the institutional clients are considered capable of doing self-assessment; however, they may wish to opt in the coverage of suitability test in order

Time of Technological Transformation," organized by Bloomberg. During the session, Deputy Secretary-General Jomkwan shared insights on the utilizations of new technologies for detecting suspicious

Asset Allocation”.Ms. Suppalak Akkittiwong, Senior Officer, SEC Department of Capital Market Education, led a lecture and activities on detecting tricks of investment scams. 

measures cover actions like blocking new mule accounts, detecting irregular customer behaviors, and inspecting and taking action against digital asset trading accounts that may constitute mule accounts

sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could

found defects in the work performance of three branch managers at two branches, namely (1) {I}, who failed to exercise proper discretion in solving problems when detecting deceitful acts, and (2) {J} and

As a result of the current situation, business operators have to self-adjust in response to technological disruption, the changing environment, and investors’ changing behaviors in order to

from self-regulatory system under professional body to more stringent regulatory system under independent regulatory body.  Inevitably, supervision on auditor in Thai capital market must be developed in

auditor: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating