opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
/securities-ITchecklist.xlsx QAQR-03.xlsx Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint
zone has been also set up to provide a consulting service regarding fund-raising. The staff would help give advice regarding the process and access to the capital market for SMEs and start-up companies
partnership between the SEC and the SET at the policy making level, after which the meetings for management and operating staff levels will be followed. The SEC and the SET are committed to working together
The SEC has found numbers of cases of online fraudulent actions involving the unauthorized use of names, logos, executive or staff images of the SEC, the capital market business operators as well
(IC) ตามลักษณะความซับซ้อนของตราสาร รวมทั้งกำหนดคุณสมบัติของ IC ให้มีความรู้ความเชี่ยวชาญที่สอดคล้องกับประเภทตราสารที่ขายด้วย นอกจากนี้ จะมีการเพิ่มจำนวน IC ที่มีคุณภาพ (experienced staff) เข้าสู่ระบบ
an academic study on the incident to present the paper and discuss with the SEC staff, said SEC Secretary-General Vorapol Socatiyanurak. ?Investor protection has always been the SEC?s top priority. To
. Administrative Expenses Administration costs increased from THB 310.9 Mn in 9M17 to THB 332.4 Mn in 9M18, an increase of THB 21.5 Mn or 6.9%. This increase was mainly due to staff increases to support the future
or 6.9% and was mainly due to staff increases to support the future business expansion and higher accrued staff bonus. Finance Expenses For the 9 months ending 30 September 2017 and 2018, financial