On 10 November 2023, the SEC Board Meeting No. 15/2566 passed a resolution approving a regulatory review on the supervision of digital asset custodial wallet providers. The approval included granting
การณ์ของตลาดทุนในปัจจุบัน โดยได้จัดตั้งฝ่ายกำกับธุรกิจแนะนำการลงทุน (Investment Advice Supervision Department) เพื่อกำกับดูแลผู้ให้บริการด้านคำแนะนำและการขายหลักทรัพย์แก่ผู้ลงทุน ซึ่งเดิมเป็นหน้าที่และ
period of his ACMF Pass. (b) a Recognised Representative may be attached to more than one Licensed Firm at the same time; the attached Licensed Firm is obliged to monitor the conduct of the Recognised
, Price Waterhouse Co., Ltd. Member, Board of Governors, Stock Exchange of Thailand Academic Member, Accounting Profession Supervision Council, Ministry of Commerce 5 In de pe nd en t Au di t In sp ec ti on
shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the
establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained
landscape of the capital market. In 2019, the SEC initiated to revisit the whole legislative structure regarding the supervision of auditing professions in Thailand for the first time to enhance the
SET is to operate stock exchange business, having powers to issue various rules and regulations. The Securities and Exchange Act B.E. 2535 specifies that SET is an organization under the supervision of
SET is to operate stock exchange business, having powers to issue various rules and regulations. The Securities and Exchange Act B.E. 2535 specifies that SET is an organization under the supervision of
age. ?The SEC is becoming an adaptive regulator for the future of data-driven supervision whereby responses to change will be faster and risks exposed to investors and the financial system will be