derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling
derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “precious metal trading firm” means any person engaging in business relating to buying or selling
Industry and Be a Firm and Fair Regulator ● Proposed Changes of the Structure of the SEC ● Procedures for Issuing Rules and Regulations Governing the Capital Market ● Roles of the SEC as Law Enforcement
licensed firm Give advice Retail investors Licensed & regulated by Home regulator ACMF pass holder Fast-track approval Give advice Non-Retail investors Attachment is subject to host’s Laws and Regulation
trading transactions regularly. In case of doubtful authenthicity, investors should seek clarificatioin from the back office of such securities firm. It should be reminded also that money for trading
June 2021. This year, the representatives from Deloitte and EY Thailand also attended to share and confer on the significant audit development initiatives, and how each firm responds to the emerging
are underestimated and (3) familiarity bias: making decision based on familiarity such as investing in the firm for which the investor is working. As the regulator, the SEC has put more weight on
their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to