SEC received Broadly Implemented for Principle relating to auditor's oversight. (2) Principles with significant improvements: 11 Principles - staff professionalism and independence - cooperation with
large part consistent with the SEC’s Strategic Plan and policy since the SEC is a major driver of the Master Plan. In this past year, the SEC has been active in imposing rigorous supervision/enforcement
Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives
Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection
, including monitoring and supervision of the subsidiaries to prevent exploitation of asset owned by the Company or subsidiaries resulted from misconducts of the Company’s directors or executives; (2) defects
staff sufficiency to ensure work efficiency, including monitoring and supervision of the subsidiaries to prevent exploitation of asset owned by the Company or subsidiaries resulted from misconducts of the
The MOU reaffirms mutual intention to promote and support provision of pools of knowledge for listed companies and regulated entities under the SEC supervision to enhance their awareness of the
.? [The average scores range from 5 (the lowest) to 1 (the highest)]. Major issues found among the inspected audit firms included non-compliance with auditing standards and inefficient work monitoring
leading to lower operating costs. Additionally, the SEC will use RegTech for a better regulatory supervision and place high importance on cyber resilience. Strategy Two: To promote the Thai capital market