? intention and brought about disputes between the clients and the investment consultants as well as the securities firms. Therefore, the SEC urges collaboration among investors not to make such authorization
funds, venture capital firms, and ultra-high net worth investors. With respect to individual investors, SEC has received diverse comments involving restrictions on investment in ICO. Therefore, SEC will
. In addition, the SEC proposes to repeal the requirement for foreign auditors of equity issuers to be affiliated with audit firms in the same group as Thai auditors and to specify no provisions
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
businesses, B.E. 2561 on expectation to come into force on 16 July 2018.This notification will be enforced on those who will operate businesses as trading centers, brokerage firms and dealers for digital
The SEC as a host, in association with audit regulatory agencies of Malaysia, Singapore, Indonesia, and the Philippines (AARG members), organized the 10th AARG Annual Meeting with Audit Firms on 15
a criminal complaint with the ECD Police against these firms and the related persons. In this connection, any person suffering damage from investment with the aforesaid persons should contact the ECD
by requiring the auditors to obtain prior approval from SEC. In addition, the auditors must be associated with the audit firms recognized by SEC. The auditors, however, shall not be director, manager
SEC has been supporting Thai firms in issuing Green Bond, Social Bond and Sustainability Bond. Over the past few years, international capital markets have developed SLB, a sustainable finance product
prescribing that the auditor to be approved by the SEC must be attached to audit firms having audit quality control system in accordance with the prescribed standard. The rules and regulations on approval shall