inspection responsibilities to increase the efficiency of supervision over intermediaries. The Financial Literacy Department was established to expedite efforts in this area. The strategic location at the
providers must select SEC-approved outsourcee and increase the roles of business providers regarding self-supervision. Business providers must regulate their outsourcing policies at least once a year, with
process to achieve that goal. SEC has proposed to hire a researcher to conduct a study on the legislations relating to audit firms and auditors supervision in foreign country which will be taken into
increase engagement and representation of a broader range of market participants such as investment management companies, listed firms, institutions or associations whose main focuses are investor education
Advisory Committee, to further enhance supervisory independence in line with international standards, and to increase recognition from international audit organizations. The proposed amendment aims to revise
in the international arena and increase investment alternatives for investors of both markets. SEC is therefore proposing to amend the rules on supervision of cross-border fund offerings to
securities business supervision: For example, repeal of the minimum requirement of paid-up registered capital of securities company, allowing the SEC Board to use discretionary power to prescribe required
PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management
costs on the existing platforms, for example, crowdfunding.?In promoting effective supervision, the SEC continues to focus on three areas, namely (1) regulatory discipline, (2) self-discipline of
. ?In promoting effective supervision, the SEC continues to focus on three areas, namely (1) regulatory discipline, (2) self-discipline of companies and executives, and (3) market force. In so doing, the