warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance
.? These kinds of incidents took place repeatedly, but the company which was under his direct supervision did not conduct proper examination.?In 2014, the SEC found a similar misconduct and took legal action
procedures for proof of guilt committed by a group of persons which is usually the case with market manipulation; 1.4 Supervision of exchange-based trading to maintain continuity and reliability of the
for all public accounting firms in Indonesia?.Mr. Thawatchai Kiatkwankul, Director of the Accounting Supervision Department, SEC (Thailand) said ?The AARG meeting gives us the opportunity to discuss
grouping, the AARG will work closely together with the audit firms to achieve this target.?Ms Nidaporn Assawateerakiat, Director of the Accounting Supervision Department, SEC (Thailand) said ?High quality
disclosed at www.sec.or.th. _____________________________ Notes:1. Institutional investors include: (1) Asset managers under the SEC's supervision, e.g., asset management companies, private funds and
facilitate development and supervision so that they are in line with the changing landscape, and is ready to connect and is recognized in the international arena; (5) Investors have the capabilities in
และการกำกับดูแลความเสี่ยงด้านเทคโนโลยีสารสนเทศของบุคคลภายนอก ตลอดจนแนวทางการกำกับดูแลแบบ risk-based supervision การกำกับดูแลการปฏิบัติของผู้ประกอบธุรกิจต่อผู้ลงทุนรายย่อย และข้อจำกัดด้านการบังคับใช้
time since the inception in 2012. The recent findings in 2019 reflect notable effort by the supervisory agency for supervision of listed companies.The findings suggest that Thai listed companies still
, having information and research for consideration would facilitate the implementation of SEC’s policies on development and supervision of the capital market to be more precise and reach the result as