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
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
confidence in publicly disclosed corporate financial information. The Securities and Exchange Act of 1992 requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC
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
to generate financial solutions, and to serve as an aiding tool for financial planning under the framework “Five Steps to Investment with Confidence". Website 5stepstoinvest.com (Thai Version
to generate financial solutions, and to serve as an aiding tool for financial planning under the framework “Five Steps to Investment with Confidence". Website 5stepstoinvest.com (Thai Version
of investor's confidence to securities business industry. Clause 7 Securities company having major shareholder with disqualified characters specified in Clause 4, shall, in writing, notify the SEC