) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties
Bangkok, July 23, 2015 ? The SEC warned investors of scams involving money transfer into the securities firms? accounts by offering wealth management services with high rate of returns and other
members (consisting of executives and representatives from 38 securities firms) held discussions and shared views regarding operations that may affect trust and confidence in the Thai capital market such as
companies, 14 percent have women as their top executives (as of December 2020), according to the Securities and Exchange Commission (SEC). As a growing number of Thai companies are taking leaps toward
Bangkok, June 16, 2015 ? ASEAN audit regulators and audit firms in the ASEAN region have just concluded a meeting that discussed initiatives to raise audit quality and market transparency in the
In addition to stricter professional standards, audit firms in the capital market are now required to comply with the International Standard on Quality Management (ISQM) 1 and ISQM 2, which have
) The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC
principles for amending the Securities and Exchange Act B.E. 2535 (1992) in three major areas, namely: (1) the granting of approval to audit firms and auditors in the capital market, (2) the collection of