as an auditor in the capital market with the SEC. In addition, the misconduct of these persons has been submitted to the Ethics Committee of the Thailand Federation of Accounting Professions under
adopt standard codes of ethics and provide quality services for clients? best interest,? Mr. Rapee concluded. The Strategic Plan 2018-2020 focuses on development in five key areas as follows: 1. Wealth
. Post-Approval Duties Complying with the specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other
specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other additional regulations prescribed by the law governing
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
out policy and supervised the SEC Office’s overall operation and implementation of the SEC Strategic Plan in line with the CMDMP and according to the set timeframe. In doing so, the SEC Board also gave
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
relevant rules and regulations and professional ethics and standards, which is administered by an association or a training institute, for a period of time not exceeding two years on the date of submission
; (5) Having passed the fundamental knowledge examination on the subjects of securities and exchange laws, the relevant rules and regulations and professional ethics and standards, which is administered