Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of
control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the https://www.sec.or.th/EN/Pages/LawandRegulations/AuditorAccount.aspx
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
and work systems to ensure orderliness, fairness, efficiency and reliability of market activities, and support appropriate fundraising, investment and securities trading to promote continuing growth of
systems which may cause serious damage to the benefit of the people. SEC Act S.133 paragraph 1 and 133 paragraph 2 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 8/2020 Dated 13
which may cause serious damage to the benefit of the people. SEC Act S.117 133 paragraph 2 and 136 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 8/2020 Dated 13/03/2020
, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to a sufficient and effective compliance system which may cause serious damage to the benefit of the
auditor qualifications in relation to experiences and introduction of new measures and sanctions relative to levels of misconduct ranging from minor to serious. In addition, the approval criteria for
as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management systems which may cause serious damage to the benefit of