requested for an extension of deadline to submit the rectified 2014 financial statements, previously set to be submitted by May 27, 2015. The company reasoned that it was in the process of gathering relevant
SLC shares and gained the illegal profit at the expense of general public. Thai, in particular, aided or abetted the group by gathering and providing related information which is essence to the
inspection showed impressive progress, paving the way to the quality enhancement and increase the number of capital market auditors to accommodate the growth of Thai capital market. Tipsuda Thavaramara, SEC
acceptance and continuance of client relationships from prior inspection cycles. However, some findings still emerged, particularly regarding the gathering of information in performing risk assessment, as
Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing / Registration • Brokerage о Securities Brokerage о
work plans to enhance the quality of financial reporting and audit work. Regarding the enhancement of regulatory frameworks imposed on auditors and audit firms, the Thailand Development Research
an inaccuracy in gathering or processing data from which the financial statements are prepared and factual misstatement with no doubt (42%), and reclassification for presentation (40%). Incorrect
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on quality and reliability enhancement of such business operator to protect investors. This means the
evaluation results, compared to 90 percent in 2019 and 93 percent in 2020. The strong determination of the heads of audit firms contributes to the ongoing enhancement of audit work quality of affiliated
Exchange Act in order to ensure that the enforcement of the law and the enhancement of the protection of investors in the capital market will be more effective and consistent with the suggestions received