into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted

permissible products are more complicated, risky and similar to those AIs have been allowed to invest domestically such as unrated bond and foreign sukuk. Moreover, all investors will have more investment

listing, foreign ETFs must have non-complicated features and investment policies tracking commonly accepted securities indices or price indices such as those whose underlyings are a basket of securities

violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

)  Reducing debt securities notifications to ensure less complicated rules and more convenience for stakeholders; (2)  Reviewing regulations to be up-to-date and consistent with other regulations on other types

corporate bond business that is usually subject to high costs and time-consuming, complicated processes. The DLT platform can reduce costs and increase efficiency, transparency and competitiveness of

capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the

effective cybersecurity plans.  SEC Secretary-General Rapee Sucharitakul said: ?Cyber threats are evolving very fast and becoming more complicated. Preventive measures alone may not be enough. It is therefore

those who offer for sale of complicated instruments including DW to provide investors with the fact sheet as well.? concluded Mr. Thirachai. ?