, and investment alternatives for the general public. As globalization has more impacts on economic growth, it is more urgent for the capital market and all related parties to make self-adjustment and
. The SEC considers qualifications of securities issuers and supervises the disclosure of information in order for the investors to have sufficient information in making an investment decision
Securities and Exchange Commission (the “SEC”), in cooperation with the PricewaterhouseCoopers Thailand (“PwC Thailand”), has developed this internal control sufficiency evaluation form (“evaluation form”) as
is not sufficient to provide assurance that such non-audit services may or may not impair the independence arising from the self-review threat or advocacy threat. • The audit firm may lack necessary
Deputy Secretary-General Tajinder Singh (second from right) to discuss international cooperation for the development and supervision of capital markets, at Hilton Hotel in Sydney Australia on 12 May 2019
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
first bilateral memorandums of understanding designating multilateral cooperation for digital transformation of the Thai capital market in line with Thailand 4.0 Blueprint, on 27 May 2019 at the SEC
Bangkok, 9 October 2017 ? The SEC and the Legal Execution Department (LED) have signed two memoranda of agreement (MOA) for mutual cooperation and information sharing, at the SEC Building today.The
as regulatory cooperation in relation to the cross-border offering of eligible Hong Kong and Thai funds.In addition, the two regulators have agreed to expedite the approval process of a local feeder