The SEC reviewed the principles for overseeing bills issued as securities to ensure compliance with the intent of the Securities and Exchange Act B.E. 2535 (1992) and consistency with the current
information, it is difficult for investors to analyze and make comparison efficiently. Besides, brokers are increasingly leaning toward investment advisory services, especially those related to asset allocation
consultations are performed for difficult or contentious matters? If yes, please describe the responses to quality risks to the following questions. - Have the conclusions reached been implemented? If they were
services and to implement information collection and risk assessment processes. However, although with those processes in place, it is practically very difficult for the audit firms to ensure full
screening eligible companies and overseeing their information disclosure. The SEC does not grant an approval for each crowdfunding project or supervise pre-offering disclosure. To be eligible for a funding
CMDF would be responsible for policy making and overseeing that market development efforts would proceed in the same direction with transparency, accountability and good governance. SEC Secretary-General
interest of which the three agencies are responsible for overseeing.
. Regarding the next 15-year perspective, the Secretary-General said: “It is difficult to make a clear-cut prediction while the digital asset industry is in constant, dynamic change. Nevertheless, the SEC is
hosted several seminars for audit committees on how to duly fulfill their duties in overseeing listed companies’ financial reporting process, how to properly prepare for annual general meetings, and how to
appropriate consultation took place for difficult or contentious matters? If yes, Please describe the policies and procedures. If no, How does the firm ensure that the difficult or contentious matters have been