renewal of an applicant as a registered auditor, and (b) regularly review or inspect the quality of work of the registered auditors and their audit firms in accordance with International Standards on

available at www.sec.or.th. Stakeholders and interested parties https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6147 The SEC rejects deadline extension for EARTH special audit report and shall inspect

report and shall inspect executives? duty performance the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are

are requested to supervise and inspect all transactions that NUSA is currently conducting and will conduct in the future to ensure that they are accurate, appropriate and are of best interest for the

) clear separation of area for selling of investment units from others. The SEC will randomly inspect commercial banks. The SEC also urged asset management company and trustee to emphasize on effective

Appoint as Executive   Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List of Information Intend to Examine by the Securities Company   Report/Form (Notification of Securities

collaborating with the SET to monitor and examine this case. Any activity found liable to be an offense under the SEA will be subject to legal proceedings as deemed appropriate.  Remarks:- Acquisition of shares

Thailand (SETLink) by 13 November 2024. The SEC is collaborating with the SET to monitor and examine this case. Any activity found liable to be an offense under the SEA will be subject to legal proceedings

long selling transactions;  (5) To require that securities companies examine clients’ securities trading orders to verify that the clients fully borrow or own securities before executing the trading

advised to regularly examine the mutual fund unitholding reports as well as related bank accounts. Moreover, investors should not leave important investment documents with ICs. In case of any doubts or