. Essentially, the primary existing regulations on IPOs which have come into force since late 2016 would remain intact, while certain provisions would be added or revised for more efficient supervision. For

in the audit firm who has an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other

an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other licensed CPAs or of

qualification requirements intact and adjust the licensing fee structure to prevent overburdens to business operators.Essentially, this approach would allow an applicant to apply for a package of licenses at one

protection remains intact while business operators still have convenience for business operation. The SEC has therefore reviewed the regulations on work systems of securities brokers and repealed two

, influence investment decisions of investors, or affect changes in the price of securities.       Therefore, by virtue of Section 58(1) of the Securities and Exchange Act B.E. 2535 (1992), the SEC has

importance because analyst?s advise or research will have a major influence on investors? investment decision-making.? ?Furthermore, the SEC also instructed Bualuang Securities Co., Ltd. to have in place

on their behalf by those agents. As sophisticated investors with influence, often including voting rights, institutional https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional

could influence the securities price to gain unfair benefit over other persons, liable to the offenses under Section 241 of the Securities and Exchange Act B.E. 2535 (1992) and criminal penalties under

majority of the relevant governing body are non-practitioners (with an appropriate cooling off period for former auditors); and - Funding of the regulator is free of undue influence by the audit profession