regulate country’s financial system, issue regulations and control financial institutions, circulate banknotes, supervise international money transfers, and monitor exchange rate of Thai Baht against foreign
(3) {K}, who neglected inspection and failed to comply with the bank's internal control system, causing the suspicious issues in the dishonest acts to evade inspection. The SEC has therefore banned the
owners tend to maintain control over firms and to be reluctant to disclose information, raising concern for good corporate governance. It was highlighted that significant challenges for family-controlled
Royal Patronage of His Majesty the King for further consideration of professional ethics of accounting professionals. The misconduct of the three persons was partially due to EY’s audit quality control
the countermeasures taken by the government to control social gathering activities, including travel restrictions and the closure of venues considered high-risk areas, the Thai economy in 2020 is
sponsors and related parties (“RP") are prescribed to prevent concentrated allocation to sponsors and RP which will enable these groups to control the supply of shares in the stock exchange. Such criteria
academic stages for interesting issues for exchange of views, and supports development and application of innovations and technology in capital market processes. SEC will monitor progress in aspects and
1.5 Where an Institutional Investor outsources its stewardship duties and responsibilities, the Institutional Investor should monitor the discharge of these duties and responsibilities to ensure that
the audit quality control system, and closely monitored the COVID-19 pandemic situation to adjust the oversight approach and communication with stakeholders to meet the changing situation. In so doing
) certifying that if the auditor of such audit firm is granted an approval from the SEC Office, the audit firm shall monitor and improve the audit quality control system in compliance with the standards