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
opportunities, enhancing competitiveness, and building market infrastructures for the digital age. ?The SEC is becoming an adaptive regulator for the future of data-driven supervision whereby responses to change
monitoring process and remediation plan. Looking ahead, the SEC will keep up the momentum of strengthening and developing stakeholders. In 2019, we will organize educating sessions on the impending financial
) 5th Annual Meeting was held in Kuala Lumpur from June 15-16, 2015. Hosted by Audit Oversight Board (AOB), Securities Commission Malaysia, the meeting was attended by over 80 regulators and audit firm
Supervision Department Tel. +66-2263-6076 Intermediaries Supervision Department Tel. +66-2263-6536 ข้อมูลนี้มีประโยชน์ต่อคุณหรือไม่? มี ไม่มี ข้อเสนอแนะ
; Pledging and revocation of pledging of securities. The supervision of clearing house and securities depository center in accordance to the oversight framework for the supervision of financial market
service presentation, as a resolution to the issue of investment and savings towards the investing public. The regulations also emphasize on the significance of self-supervision for business providers.SEC
> Consultation เอกสารรับฟังความคิดเห็น Consultation Paper เอกสารแนบ × Hearing Document Download Document 38/2562 SEC Thailand’s Public Hearing on Regulatory and Supervision of Digital Asset Advisory Service