prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
has carried out various undertakings in preserving the trustworthiness of financial reporting system and protecting investors. With respect to audit quality inspection, the results showed that in the 3
: Administrative Procedure under the Derivatives Act B.E. 2546 and the Trust for Transactions in the Capital Market B.E. 2550 (As Amended) By virtue of the Section 9(1), Section 121, Section 122 and Section 124 of
for investigation. Given such circumstances and the fact that criminal procedure takes a long time, it has been difficult to bring a market misconduct offender to justice.?The approved amendments
international standards, enhancing trustworthiness with up-to-date supervisory and preventive measures, promoting the capital market to become the fundraising channel for all businesses and important investment
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
enterprises (and above) requests must be processed through the Environmental, Social and Governance (ESG) assessment procedure Financial support to environmentally- friendly businesses Efficient risk management