professional conduct to ensure that investors will have reliable information and efficient protection. The SEC also promotes self-awareness of all sectors regarding the benefits of good corporate governance and
. ?In promoting effective supervision, the SEC continues to focus on three areas, namely (1) regulatory discipline, (2) self-discipline of companies and executives, and (3) market force. In so doing, the
on auditor supervision has brought about even more investor confidence in Thai financial reporting system and auditor quality.In the area of supervision on intermediaries and business operators, the
addition, the European Union?s endorsement on auditor supervision has brought about even more investor confidence in Thai financial reporting system and auditor quality. In the area of supervision on
Act of 1992 to introduce the civil sanctions as a new enforcement mechanism will help enhance enforcement efficiency and boost confidence in the Thai capital market.?Tipsuda Thavaramara, SEC Deputy
regulatory improvement and international standard compliance. The official assessment results, which would enhance the confidence of domestic and foreign investors, are expected in mid-2019. For the next three
. Rulemaking is a tangible start for all parties involved in any particular matter to self-adjust in order to achieve respective goals, and subsquently strengthen market credibility, balanced market ecosystem
Assessment Program (FSAP), which resulted in further regulatory improvement and international standard compliance. The official assessment results, which would enhance the confidence of domestic and foreign
protection gap existed in investment adviser regulation.” DATA • Freedom of Information Act: Filed a request for all annual Form ADV filings for investment adviser information. + • SEC Investment Adviser
from the professionals and auditor supervision in line with international practices. In addition, the European Union?s endorsement on auditor supervision has brought about even more investor confidence