entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
SEC has revised rules on granting approval of auditors in its continuing efforts to enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial
Capital The objectives for the determination of minimum paid-up registered capital are to support businesses of different models; enhance competitiveness for the intermediaries; suit respective risk types
professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having understanding and public accountability; having no prohibited characteristics such as being under
professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having understanding and public accountability; having no prohibited characteristics such as being under
of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control and suppression, regardless of whether it is Thai or foreign law
offense under the law controlling business operation of such person or any other law relating to financial business, both of which concern unfair securities trading practices or cheating, fraudulent or
of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control and suppression, regardless of whether it is Thai or foreign law
(in case of selling to retail investors, listing of the units in the Stock Exchange is required to enhance the liquidity). In case the asset value of Greenfield* projects > 30% of the total asset