applicant and group of parent company. {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1
their licensed or registered scope of businesses by visiting the SEC website (www.sec.or.th). In addition, any persons who come across suspicious unlicensed activities can report the matter to the SEC
considered such report.Previously, the SEC had notified AIE and AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the
, trustworthiness, and competitive advantage. ?The SEC wishes to enhance the roles of audit committee by prescribing proper educational background and accounting experiences, extending scope of roles and duties to
to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product
, the proposed amendments to the prohibited characteristics of major shareholders to provide greater clarity and to better reflect current risk developments. Key aspects include expanding the scope of
scope of operation of foreign representative branches of Thai business operators and apply the rules of the regulators of such foreign representative branches instead, (3) allow more flexibility on
. In addition, the draft regulation is expected to further clarify the scope of supervision of digital asset businesses because they are not under state oversight. The SEC conducted a public hearing on