- present Securities and Exchange Commission, in various position and roles including securities offering, mergers and acquisition, corporate governance, enforcement, legal, investor education, internal
- present Securities and Exchange Commission, in various position and roles including securities offering, mergers and acquisition, corporate governance, enforcement, legal, investor education, internal
auditor supervision as the auditor's role of independent professional is fundamental to investor confidence in publicly disclosed corporate financial information. The Securities and Exchange Act of 1992
matters under its supervision in accordance with the governing laws . Conducts liable to the supervision include duty performance of market participants such as securities issuers,approved securities
> Financial Reporting and Audit Oversight > Auditor Supervision > Quality Assurance & Review Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor
company/ person(s) under the SEC supervision; 4. Details of the complaint ( Please identify clearly ) , i.e., objective and details of the complaint, documents and other evidence, for instance, trading
for public offerings. Also a concern at the initial stage of development was the overlapped market supervision under the authority of multiple agencies as seen in the following areas: Securities
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
: For More Information ContactUs Investment Management Supervision Department Tel. +66-2263-6076 Intermediaries Supervision Department Tel. +66-2263-6536 Was this page helpful? Yes No Comment
retail investor education and financial literacy, and to advise the IOSCO Board on emerging retail investor protection matters. As the Thai capital market is dominated by retail investors, the SEC has