recommended to deal with the said insufficiency; (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard
system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the consequence thereof. In this regard, while awaited delivery of the asset or
judgement of the Appeal Court shall be final. The SEC Office files a complaint with inquiry official for the violation. Violating the prohibition(s) NO. NO - a suspension of trading in securities and
services through business operators in the host country, prohibition of giving advice to particular customers and soliciting for sales of the capital market products. Each ACMF member may issue additional
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
(SEC) is closely monitoring relevant development and, for the time being, has no plan to allow spot bitcoin ETFs in Thailand. The SEC takes note of potential benefits of spot bitcoin ETFs as approved in
amendment to the Forest Act B.E. 2484 (1941), in order to repeal the prohibition of cutting of all tree types, including restricted trees, on land under private ownership. This process is now under the
trading for a period not exceeding 5 years / a prohibition against trading of digital assets or entering into derivatives contracts related to digital assets for a period not exceeding 5 years; (4) a bar
SHARE : SEC public hearing on a draft regulation regarding prohibition of digital asset business operators’ provision of or involvement with crypto deposit taking and lending services Wednesday 8 March
investment to earn optimal benefits for investment owners and clients. Having such policy and close investment monitoring will encourage the invested companies to adopt good corporate governance and