integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities and
, the Amendments to the Royal Enactment on Special Purpose Juristic Persons for Securitization of 1997, and the laws governing the liberalization of securities businesses. The robust legal framework shall
reporting process toward a higher quality. In the preceding years, the SEC mobilized various initiatives to support the preparers in building self- discipline and the understanding of appropriate and
of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours
www.sec.or.th/scamalert or email: scamalert@sec.or.th. The SEC will verify and further investigate all submitted cases promptly and notify relevant authorities to remove fraudulent contents or channels used for
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
company. - Review the company’s compliance with private sector’s anti-corruption and certification programmes, including the Collective Action Coalition Against Corruption’s Self-Evaluation Tool. - Issue an
first analysis of Thai KAMs to investigate investors’ reactions to the different numbers, types, and tones of KAMs. To investigate whether the investors are sentimental to tones of Thai words in KAMs, a