elevate operational standards and efficiency. We aim also to increase flexibility and capabilities of market participants in preparation for tougher competition and to attract more international investors
of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
flexibility in business operation as well as greater competitiveness, and in line with the trend towards consolidated supervision of financial institutions of the Bank of Thailand.
management or advisor of another securities company, which is in support of financial conglomerate of securities businesses, bringing about flexibility in business operation as well as greater competitiveness
meet the criteria specified in the SEC regulations to be listed on the Thai stock exchange and offered to investors in Thailand. This offers the investors the flexibility to trade the units of foreign
to increase flexibility and investor protection Essentially, the amendments would apply to digital asset business operators, i.e., exchanges, brokers and dealers, and cover the licensing process, from
asset business rules to increase flexibility and investor protection Essentially, the amendments would apply to digital asset business operators, i.e., exchanges, brokers and dealers, and cover the