oversight in Thailand, priority is given to supervision of individual auditors, but the competent agency is not given the power to directly supervise the audit firms._________________________
Chairman Chanin Vongkusolkit and TLCA members, to discuss strategies for the development and promotion of supervision over listed companies. The discussions covered measures to prevent adverse behaviors
digital token holders.The SEC has therefore amended the regulations governing supervision of real estate-backed ICO, as part of the short-term implementation plan to tighten supervision of digital token
process to achieve that goal. SEC has proposed to hire a researcher to conduct a study on the legislations relating to audit firms and auditors supervision in foreign country which will be taken into
Bangkok, November 10, 2011 ? The Securities and Exchange Commission has passed a resolution at the monthly meeting No. 12/2011 allowing amendment to the regulations governing local and foreign credit rating agencies in response to the changing business environment and in line with the International Organization of Securities Commissions (IOSCO) standards. The revision requires that locally-based CRAs implement efficient, reliable and systematic credit rating methodologies and operate independen...
SEC Secretary-General Ruenvadee Suwanmongkol said “this is the first time in Thailand that a comparative study between Thai laws on the supervision of auditors and audit firms in Thai capital
, 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
For derivatives business operators to have sufficient time in preparing their operating systems, the SEC approved draft rules governing derivatives agents with requirements as follows: Readiness of Business Operation: Derivatives agents must have in place (1) clear organization structure, (2) working system that prevents conflict of interest and the leak of information, (3) risk management system, (4) operational and IT management system, (5) database system, and (6) compliance system. Beside...
The SEC approved the supervision guidelines for provident fund management business as agreed by the Association of Investment Management Companies (AIMC) with a view to enhance asset management
developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from