Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last
capital market intermediaries including fund distributors, e.g., banks, to explore cross-border opportunities and build mutual understanding in the matter. Additionally, SEC has closely cooperated with
Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit firms in the capital market, and regularly inspects and issues inspection
therefore suspended the approval for {A} as a capital market auditor for six months, starting from 19 January 2022. ________________________
) and organizations of capital market business operators. This aims at preparing Thai capital market?s infrastructure to be more responsive to global changes, enhance flexibility of supervisory structure
Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every
trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
market competitiveness, foster sustainable development, promote financial literacy and long-term savings for public and improve corporate governance and enforcement. The plan also goes on to promote