. The SEC considers qualifications of securities issuers and supervises the disclosure of information in order for the investors to have sufficient information in making an investment decision

were sufficient and effective as a quality control measure. In today’s complex business environment and with even more complicated business transactions, sufficient supervision by highly experienced

their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law

permissible products are more complicated, risky and similar to those AIs have been allowed to invest domestically such as unrated bond and foreign sukuk. Moreover, all investors will have more investment

the audit of information technology general control (ITGC), as many medium-and small-sized audit firms had been identified by the results of inspection to lack sufficient competent personnel in

, the audit firms should always consider fundamental factors, such as audit partner’s capabilities and experiences. During the 2015 audit inspection, the SEC found that complicated audit engagements of

SEC will undertake proactive actions to increase the number of auditors in the capital market to be sufficient to support the growth of the Thai capital market. The structure of laws and regulations

Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment

effective cybersecurity plans.  SEC Secretary-General Rapee Sucharitakul said: ?Cyber threats are evolving very fast and becoming more complicated. Preventive measures alone may not be enough. It is therefore

capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the