derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
SEC Secretary-General said “With respect to the policy of SEC to enhance the protection for investors in the capital market, auditors and audit firms is deemed to play an important part in the process to achieve that goal. SEC has proposed to hire a researcher to conduct a study on the legislations relating to audit firms and auditors supervision in foreign country which will be taken into account in amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to al...
stakeholders, information and comments from which was used in drawing up a proposal for revision of oversight of auditors and audit firms in Thai capital market, TDRI offered a detailed proposal as follows: (1
, which will lead to the improvement of the audit oversight in Thailand” SEC gives priority to audit quality which is an essential factor to raise the credibility of the financial
management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the
similar form of fundraising and benefit generation. In essence, the amendments support enhancement of digital token offering supervision with proper investor protection mechanisms and a focus on fair
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on continued quality development and investor protection reliability of such business operators. This
Regulations SHARE : Detail Content Mutual Fund A mutual fund is a significant investment alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they