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
, investment analyst and investment planner, and at the amount of 10,000 baht in case of a fund manager. SEC has therefore proposed amendments to the regulations on supervision of capital market
SEC is proposing amendment to the guidelines for supervising auditors and audit firms in the Thai capital market to enhance the audit quality oversight of audit firms and promote the development
developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from
current situations by expanding the scope of protection and effectiveness as well as closing legal loopholes that could bring people damages or improper services. The regulations are proposed to be
Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of
Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in
aim to strengthen supervision on capital market business operation. Lessons learned from both organizations’ experience on cases with widespread impacts on the stakeholders were also shared for
Pursuant to the Ministerial Notification concerning Approval for Undertaking of Digital Asset Businesses, effective since 13 July 2022, DA custodial wallet provider is required to obtain a DA business license before providing the custodial wallet. In this regard, the definition of DA Custodial Wallet Provider may cover deposit or custodial service for all types of DA, including such deposit or custody without the objective of custodial service business as in the case of DA issuers who provide cu...