/LawsandRegulations/securities-ITchecklist.xlsx QAQR-06.xlsx institution, insurance, construction, digital assets) obtain/maintain the required specialist knowledge? Does the firm have special training/or tailor-made
institutions, involving extensions, postponements, or adjustments to repayment schedules; and (5) a waiver of the obligation to maintain the net debt-to-equity ratio at the end of the 2024 fiscal year
custody. Additionally, funding portals acting as a bondholders’ representative are required to meet and maintain proper financial qualifications; and (3) Allowing securities companies licensed
million baht, comparable to a securities company that safeguards client assets. Additionally, a funding portal acting as a bondholder representative is required to meet and maintain financial
required to meet and maintain financial qualifications. The Notifications* specifying the amended regulations have been published in the Government Gazette and have become effective since 16
The SEC has endorsed the concept of requiring audit firms to maintain an appropriate number of auditors in the capital market to enhance their overall strength and ensure sufficient staff to provide
situations and fair treatment to all types of investors. The regulatory review also aims to promote and maintain stability and efficiency in securities trading. The SET will expedite the reviewing process of
under appropriate oversight and to maintain confidence of investors who use the services. The consultant paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=678
to maintain the qualifications as head of audit firm or partner or equivalent position from being terminated as capital market auditor immediately as long as they proceed to rectify and resume the full
investment unit brokerage to maintain ongoing capital at a ratio appropriate for their business and in line with international standards. In addition, the new rules would enhance business continuity while