practices for accounting and audit. Divergences from international standards and practices (and the reasons for these divergences) should be disclosed by the standard-setters. Legal and regulatory
regulations ë Monitor submission of reporting requirements and information disclosure to assure a sound financial condition and capital adequacy according to rules and regulations ë Conduct routine inspection
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
: International standards on Auditing iSQC: International standard on Quality control KPi: key performance indicators mAi: market for Alternative Investment md: managing director; in practice, ceo is generally used
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
intermediaries and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN
and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN/Pages
capital market supervision is crucial and necessary. The regulations under this Notification set a standard for operation of securities clearing houses and central securities depositories so that their
digital assets , and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8285 SEC