firms and the audit work quality of listed companies.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The overall results of the second-cycle inspection show continued improvement in the work
be properly supervised by the business providers and for a more effective supervision system to make the regulatory system more efficient and comply with international standard, such as, the right to
SEC Secretary-General Ruenvadee Suwanmongkol said: “Today, SEC has issued the Notification prescribing the standard single form for opening an account for investment in all types of capital market
The SEC is proposing to revise the rules and related guidelines on the establishment of information technology system, which have been in force since 2016. The proposed changes aim to keep pace with (1) the changing IT usage in business practices, (2) the increasingly sophisticated technical approaches and mechanisms of cyber threats, (3) the revisions to preventive measures for addressing security pitfalls previously causing IT incidents in the capital market, and (4) the updated IT rules and g...
to the IT Standard Rules this time are summarized as follows: (1) Establishing IT-related risk assessment criteria to define the entity’s risk level and to specify standards of IT security controls
Assessment Program (FSAP), which resulted in further regulatory improvement and international standard compliance. The official assessment results, which would enhance the confidence of domestic and foreign
Bangkok, February 8, 2016 ? The SEC is seeking public comments on draft revisions to the rules governing operation of capital market infrastructures to be in line with international standard
complainants, namely (1) the initial clarification and related documents gathering phase, (2) the case consideration phase, and (3) legal proceedings phase. This complaint handling improvement aims to give more
According to the SEC Strategic Plan, the goal of building competitiveness can be achieved through standard rules and regulations. In this regard, the regulatory guillotine scheme,* which focuses
planned to lift suitability test standard to facilitate business operators and investors. The standardized suitability test will be used for investment in all types of the capital market products including