The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a
considered to settle his current case with harsher punishment.
guidelines would not impose excessive burdens on audit firms and auditors and would specify penalty alternatives that focus on appropriate proportionality of punishment to offense. The consultation paper
cost over the long term, which will in turn help reduce costs within the economic system.. Within this context, KBank and K Companies accentuate enhancement of our business capabilities to achieve
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
punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
that he continued to submit trading orders in the same manner. The act of Surin constituted a violation of Section 244/3 and will be subject to punishment under Section 296, Section 296/1, and
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