such cases provisions of Clause 16 and Clause 17 shall not be applicable to the aforesaid service. In providing service as derivatives broker in the first paragraph, derivatives broker shall trade in
) ……......... 10. Number of companies for which the applicant has affixed signature in giving opinion on their financial statements over the past 5 years: Year of signature affixed Number of companies Affiliated
measures that are sufficient and a substitute for its non-compliance with the rules or conditions to be exempted. In granting an exemption under Paragraph 1, consideration shall be given to the
-compliance with the rules or conditions to be exempted. In granting an exemption under Paragraph 1, a consideration shall be given to the appropriateness and adequacy of the information to support investment
in the audit firm who has an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other
an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other licensed CPAs or of
giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in https://publish.sec.or.th/nrs/8500pe.doc 8500pe_r.pdf
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
Bangkok, 20 October 2017 ? The SEC is giving its full support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create