includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
Request Rejected The requested URL was rejected. Please consult with your administrator. Your support ID is: 5232731155936989369
Request Rejected The requested URL was rejected. Please consult with your administrator. Your support ID is: 13592060535677990824
check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The
During January – March this year, the SEC conducted a public hearing on proposed amendments to the PVD Act to support the development of fund structure, enhance the member protection mechanism
executives’ compensation policy, method of determining the compensation packages, and structures of each compensation type;- To improve disclosure of the use of proceeds in filing documents to be more
would not only improve the efficiency of debt offering supervision but also lighten the loads of debt issuers and maintain appropriate protection for investors. For such proposes, the SEC Office is
Bangkok, October 2, 2015 The SEC has rolled out an initiative to enhance sustainability of the financial reporting ecosystem, which is paramount to the integrity and soundness of the Thai capital
Bangkok, February 9, 2016 ? The SEC is seeking public comments on draft amendments to several regulations governing provident fund (PVD) management to promote PVD as an effective savings chanel for employees. The revision aims at encouraging employees to save more, save longer, and save smart, to enjoy better quality of life after retirement.The proposed amendments would require that asset management companies comply with the following key regulations: 1) To provide several investment plans f...
Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such variations have caused SEC extra time on processing the data for regulatory use. In addition, the current regulation which requires the operator to submit the report in paper form to SEC has incurred an undue burden to the business. SEC, therefore, proposes to amend the regulations by requiring...