Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
investment analyst by a regulator in an ASEAN country which is accepted by the SEC Office.1 1 an ASEAN country which is accepted by the SEC Office means a signatory to the Memorandum of Understanding on the
requires that the operatives are thoroughly acknowledged and of understanding in their roles and the limits of their respective power.SEC and the aforementioned five state departments have partnered and
Cryptocurrency is a financial innovation that is exposed to high volatility. Investment in this digital asset thus requires knowledge and understanding and a risk profile that is not so sensitive
=430&rows=10 431 - 440 of 461 results Sort by: Relevance Date (Newest) Date (Oldest) SEC organizes an annual seminar on “Understanding the Thai Capital Market 2023” . Suppakrit Boonsat, Director of the
=system_name%3ASEC_News&start=430&rows=10 431 - 440 of 461 results Sort by: Relevance Date (Newest) Date (Oldest) SEC organizes an annual seminar on “Understanding the Thai Capital Market 2023” . Suppakrit
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given