information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial reporting disclosed to the public. The SEC requires the auditor in the capital market to
Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and
auditor supervision as the auditor's role of independent professional is fundamental to investor confidence in publicly disclosed corporate financial information. The Securities and Exchange Act of 1992
confidence and prevent recurrence of the problematic issue. In response to the said incidents, the International Organization of Securities Commissions (IOSCO) issued “Principle of Auditor Oversight," to its
Confidence". Website 5stepstoinvest.com (Thai Version) Facebook 5stepstoinvest (Thai Version) Regulatory Summary Qualifications 1. A juristic person with a license for operating securities or
Confidence". Website 5stepstoinvest.com (Thai Version) Facebook 5stepstoinvest (Thai Version) Regulatory Summary Qualifications 1. A juristic person with a license for operating securities or
required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2 functions). Applying for Approval and Reporting Guidelines No prior approval or