> Annual Statistics Enforcement SHARE : Detail Content Annual Statistics Criminal Sanction Administrative Sanction Civil Sanction Annual Statistics Cases of Enforcement SHARE : For More Information
Sanction is a recent enforcement power added by the Securities and Exchange Act (No. 5) B.E. 2559 (2016) and the Emergency Decree on Digital Asset Businesses of 2018 in order to improve efficiency of law
administrative sanction (Tha i Version Only) ORAP Handbook (Tha i Version Only) Regulations Guidelines Regulatory Summary SHARE : For More Information ContactUs Sales Conduct Supervision
> Financial Reporting and Audit Oversight > Auditor Supervision > Quality Assurance & Review Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor
.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for Transactions in Capital Market Act. It may be imposed on derivatives business operators, futures exchange
Regulatory Summary of Approved Auditor in Capital Market Related Rules and Regulations Related Forms Quality Assurance & Review Independent Audit Oversight Handbook for approval of foreign auditors
, incompetent or quasi- incompetent person, (2) being or having been suspension of CPA license during the past three years, unless the reason of suspension is the same as of the SEC's sanction, (3) having
or having been suspension of CPA license during the past three years, unless the reason of suspension is the same as of the SEC's sanction, (3) having been revocation of CPA license, unless the CPA
-registered auditors 2.3 List of SEC-registered foreign auditors 2.4 Relate Rules and Regulations 2.5 Related Forms 2.6 Quality Assurance & Review 2.7 Independent Audit Oversight 2.8 Handbook for approval
of Good Corporate Governance and Prevention of Frauds Regulatory Summary of Approved Auditor in Capital Market Related Rules and Regulations Related Forms Quality Assurance & Review Independent