Department and the Corporate Monitoring Department have been merged to be in charge of fully-fledged supervision of listed companies, while the Fin Tech Department is the center of digital asset-related
their duties efficiently and effectively in the advancement and surveillance of listed companies’ financial statements and supervision of auditors’ work. Hence, the SEC regularly arranges internal
offering digital asset advisory service and/or acting as digital asset fund manager to provide alternative investment choices for investors, but also support careful monitoring of persons giving advisory
landscape of the capital market. In 2019, the SEC initiated to revisit the whole legislative structure regarding the supervision of auditing professions in Thailand for the first time to enhance the
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
Prevention and Development Division and Market Intermediaries Division. 1.1 Prevention and Development Division comprises Corporate Monitoring Department, Financial Literacy Department and Corporate
Commission (SEC) has amended the regulations on supervision of initial coin offerings (ICO) with real estate underlying or real estate income stream (real estate-backed ICO) to be more comparable to real
, Price Waterhouse Co., Ltd. Member, Board of Governors, Stock Exchange of Thailand Academic Member, Accounting Profession Supervision Council, Ministry of Commerce 5 In de pe nd en t Au di t In sp ec ti on
written investment governance policy, (4) making informed investment decisions and monitoring investee companies regularly, (5) escalating monitoring of and engagement with the investee companies in case of
. However, the SEC will continue monitoring relevant developments, supervision, and actions in various aspects to ensure that effective investor protection measures will be in place before further developing