, useful to the investors and prepared in compliance with international standards. In so doing, the SEC's operations comprise three perspectives, as follows: 1. Supporting accounting profession to be in line
an affiliated company, but a member of the Audit Committee is prohibited from being a director of a parent company, subsidiary or subsidiary at the same level (sister company) which are listed
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
mutual fund in compliance with the accounting standards prescribed by related regulations on accounting. The financial reports must be audited and given opinions by the auditors who has been approved by
fund 4.1 A mutual fund management company shall prepare the financial statements of the mutual fund in compliance with the accounting standards prescribed by related regulations on accounting. The
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
Qualifications (1) having audit quality control system which is in compliance with the International Standards on Quality Management 1 (ISQM 1); (2) having full-time CPAs and full-time assistant auditors as
integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
> Business Operators > Related Forms Regulations SHARE : Detail Content Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by
ถือหุ้นรายใหญ่ในปัจจุบัน แบบฟอร์มสรุปสาระสำคัญของระบบงานด้านการประกอบธุรกิจและการกำกับดูแล (business & compliance) แบบขอรับความเห็นชอบผู้บริหารของผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล แบบรับรองประวัติบุคคล