This proposed amendment to the regulations on qualifications of capital market auditors aims to facilitate capable auditors’ entry into the capital market to perform audit work and to streamline supervisory rules that could impose excessive burdens on auditors. This regulatory revision would therefore attract sufficient qualified auditors into the capital market to serve the increasing number of listed companies while maintaining audit quality in line with international standards. The essence of...

support the national goal, our strategic plan aims to meet four key objectives of sustainable development, financial inclusion, strengthening competitiveness and building trust and confidence. Amid this

According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht.  The misconduct above led to the consideration that {A} failed to perform his duties responsibly with professional due care when he acc...

According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading execution program. She also transferred her own money into the client’s trading account as a collater...

be eligible for cross-border offerings, the mutual funds must meet acceptable standards. Such mutual recognition would help to increase competitive edge of the asset management business in the

. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form

Bonds must meet, in addition to meeting the appropriate specific Sector Criteria. 1.3. The need for Waste Management Criteria The World Bank has estimated GHG emissions from waste management alone as 5

, under their management to meet the requirement instead of being subject to immediate dissolution on the closing date of the unitholder register.In addition, the SEC is proposing a waiver of compulsory

Bangkok, October 12, 2015 ?The SEC is seeking public comments on the proposed revision to the crowdfunding rules, which have been effective since May 2015.  The revision aims to meet the following

Bangkok, October 12, 2015 ?The SEC is seeking public comments on the proposed revision to the crowdfunding rules, which have been effective since May 2015.? The revision aims to meet the following