current situations by expanding the scope of protection and effectiveness as well as closing legal loopholes that could bring people damages or improper services. The regulations are proposed to be

, investment analyst and investment planner, and at the amount of 10,000 baht in case of a fund manager.    SEC has therefore proposed amendments to the regulations on supervision of capital market

In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for

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

Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in

in line with the current average period wherein an auditor is entrusted to be the engagement partner or the auditor affixing signature to express an opinion to financial statements on behalf of the

The proposed amendments aim to improve the rules and guidelines for operating digital asset businesses to be more timely and appropriate in line with the industry developments and the current

financial statements via the Electronic Information Transmission System of the Stock Exchange of Thailand (SET) in August 2018.  The misconduct of the four current and former executives and directors* is

aim to strengthen supervision on capital market business operation. Lessons learned from both organizations’ experience on cases with widespread impacts on the stakeholders were also shared for

Pursuant to the Ministerial Notification concerning Approval for Undertaking of Digital Asset Businesses, effective since 13 July 2022, DA custodial wallet provider is required to obtain a DA business license before providing the custodial wallet. In this regard, the definition of DA Custodial Wallet Provider may cover deposit or custodial service for all types of DA, including such deposit or custody without the objective of custodial service business as in the case of DA issuers who provide cu...