, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
particularly address audit quality control at both firm and individual engagement level, which are summarized as follows: 2.1 Regulatory Summary of Approved Auditor in Capital Market 2.2 List of SEC
attach to the audit firm equipped with audit quality control system. These efforts will support the Thai capital market and Thai accounting professions to gain more investor confidence, both domestic and
management and major shareholders, the imposition of penalties, and statues of limitations for legal proceedings. These proposed amendments are intended to enhance supervisory efficiency and alignment with the
digital asset business operators. Pursuant to the Emergency Decree on Digital Asset Businesses of 2018, digital asset business operators are required to obtain a relevant license from the Minister of
. This is for the case that they have common major shareholders if they are able to comply with the independence criteria as specified by the SEC Board; (3) Undertaking of Other Businesses: Requiring
maximize the use of FinTech in developing financial and investment services with less legal limitations and more efficient information access. SEC Deputy Secretary-General Tipsuda Thavaramara said: ?Making
the company about outstanding issues…” More details are available at https://bx.in.th/ . With concerns of investor protection in this regard, the SEC has set up a special investor support team to
conduct any of these new businesses is required to apply for an applicable license with SEC. In this regard, SEC adopts the regulations on business conducting for “Digital Asset Investment Advisor” and
, namely (1) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the SEC to be replaced with other disclosure means, for example, disclosure of