Providing Compliance Unit of an Intermediary
Providing Compliance Unit of an Intermediary
Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
and listed companies to comply with IOSCO standards and enhance the reliability of the Thai capital market and the confidence of domestic and overseas investors, the SEC has taken into account the
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
firms in the capital market, and regularly inspects and issues inspection https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9346 SEC reveals non-compliance of EIC tender offer price Bangkok, January
Special Extension for Approved Status of Auditor, Financial Advisor and Compliance
การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance
the prescribed guidelines provided in the electronic work system of the SEC Office. Clause 3 In case of an offer for sale of underlying shares of the TSRs under a rehabilitation plan in compliance with