regulator for Thai capital market, as evidenced by an endorsement from the European Commission (“EC”) given to the SEC in June 2013 to acknowledge the SEC’s audit oversight system as being equivalent to that
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
+%22electrica... PowerPoint Presentation Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to
Bangkok, March 26, 2015 ? The SEC recently hosted ?3rd ASEAN Audit Inspection Workshop? and ?2nd ASEAN Financial Statement Surveillance Workshop,? the international audit oversight events, in Bangkok
similar form of fundraising and benefit generation. In essence, the amendments support enhancement of digital token offering supervision with proper investor protection mechanisms and a focus on fair
related information, (2) revising the supervision of major shareholders of business operators under both laws so that it will be applied consistently, (3) reconciling the supervision of persons who work
were sufficient and effective as a quality control measure. In today’s complex business environment and with even more complicated business transactions, sufficient supervision by highly experienced
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For
decision on appropriate forms of alliance with foreign counterparts to support future trading linkage;2. Supervision of Securities Business: Licensing provisions would be amended to grant the Securities and