Statistics of approved investment analysts / investment consultants Please wait... Statistics of approved investment analysts / investment consultants Type of License April 2021 May 2021 June 2021

strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. ---------------------- The

reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. ---------------------- The Securities and

challenging to audit due to high degree of judgment required. • Complex transactions • Complexities of auditing IT : in particular in the areas of valuation, internal control and evidence of work performed

sector. In addition, as SEC has measures for monitoring and inspection of reports, data, including business standards and ethics of the securities companies, it is able to ease the rules to better

differed from what was discussed with the SEC or existed during a different timeframe from the time when the SEC considered the matter. Such use is considered to be for wrong purposes. Therefore, the SEC

revisions, the business operators will be required to have in place a sound internal control system, by taking into account the utmost interest of customers, for preventing the use of inside information and

and make use of capital market. The Project has gained support from our seven alliances, namely the Ministry of Interior, National Science and Technology Development Agency (NSTDA), the Stock Exchange

website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services.    _________________         

website so that investors will be able to access information and monitor the operation of the business operators before making a decision to use their services