SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...

Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...

-determined investment scope, and receiving more protection from better quality standard services.The proposed rules are expected to take effect in early 2017. The consultation paper is available at

for three more years (2024-2026), and to expand the fee deduction scope to include consulting expenses for the preparation of carbon footprint disclosure.   In this regard, the deductible amount would

the scarcity issue on the professional personnel, especially in the partner position, which cause the EQCRs to endure the massive responsibility and lack the adequate time to involve in some of the

, in this inspection cycle, the SEC adjusted the scope and guidelines for planning workpapers inspection according to a holistic risk-based approach by gathering risk information from several sources

results of the current inspection cycle in the engagement-level mostly emerged from the lack of sufficient appropriate audit evidence in substantive procedures phase. The audit of revenue, the audit of

quality in these areas. The root cause analysis on some audit firms’ continual lack of the ability to fully remediate their deficiencies revealed a scarcity of experienced and competent staff to assume