violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
operations involving supervision of market activities or monitoring of compliance with the stated laws, rules and regulations are generally managed within the SEC Office, except for licensing, which must be
, manager or person with managerial authority who is responsible for the applicant’s undertaking of securities business has qualifications and does not have any prohibited characteristics under Section 103
and new customers. We have always been monitoring and analyzing IU volumes closely. Proactive cost saving plans were implemented with potential expense savings of THB 34 million by extending useful life
--two of its subsidiaries are also in the top ten--as well as one of three the largest banks, and the national airline and the airport authority. The state’s direct holdings in these The market has
Singapore Accounting and Corporate Regulatory Authority (“ACRA”) have held ASEAN Audit Regulators Group meetings since the formation of the ASEAN Audit Regulators Group (“AARG”). The AARG was established by
recommended to deal with the said insufficiency; (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard
Committee, etc., and the scope of authority and responsibilities of each committee; (2) identify the audit committee members who have knowledge and experience in reviewing the financial statements of the
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
(SEC) is closely monitoring relevant development and, for the time being, has no plan to allow spot bitcoin ETFs in Thailand. The SEC takes note of potential benefits of spot bitcoin ETFs as approved in