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.
, strategies; and currently overseeing policy and supervision of intermediaries, asset management, provident fund and market infrastructure Bank of Thailand, Analyst, Bank Supervision Department https
, effective on 5 August 2024. In any case, the SEC is responsible for overseeing that ICO portals comply with relevant regulations and maintain the qualifications specified by the SEC at all times while
. 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
signs MOU with Central Institute of Forensic Science to increase efficiency in testing evidence of offenses in the capital market. capital market are complicated and finding the evidence is difficult
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