Association of Investment Management Companies Regulatory Summary The provisions under Trade Association Act B.E 2509 regarding the operation, control, dissolution and the penalty provisions are applied
Operators Regulatory Summary Related Manuals and Guidelines Related Rules and Regulations Related Forms “Digital Asset Business Operator" refers to a licensed operator of digital asset businesses, but not
Operators Regulatory Summary Related Manuals and Guidelines Related Rules and Regulations Related Forms “Digital Asset Business Operator" refers to a licensed operator of digital asset businesses, but not
approaches to regulate debt securities. These approaches include: Approval – issuers are required to apply for the approval to offer debt securities for sale. This will allow the SEC to carry out a preliminary
will be capable of regular monitoring the quality of audit work performed by such auditor, which resembles the international supervisory framework. The audit quality control regulatory shall be performed
audit quality control system of the audit firm. As such, the auditing must be carried out under the good quality control system both at firm level and engagement level. In response to the aforesaid, the
found in various jurisdictions raised serious concerns among capital market regulators on the quality of financial statements and more stringent quality control on audit work has been imposed to regain
the company in order for the shareholders to have complete information in making a decision and have control over the executives in risk management, financial management and business strategy. The
to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance with the ISQM 1. 2.8.2 Checking whether applicant's
, b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance with the