number of salespersons sufficient for providing services to investors, the new rule will pave the way for experienced staff to seek sales licenses provided that they meet certain conditions to maintain the
Bangkok, February 17, 2016 ? The SEC is seeking public comments on proposed amendments to the initial public offering (IPO) rules. The amendments aim to facilitate sufficient share distribution to
products and services so that investors would have more investment choices to choose from. However, clear and sufficient disclosure of information is imperative to facilitate investors? decision making. The
obtain sufficient information and audit evidence necessary for reviewing the financial statements. Therefore, the auditor was unable to express his opinion on the aforementioned financial statements
financial statements by March 8, 2013. This was because the SEC found that the company?s management prevented the auditor from obtaining sufficient information and audit evidence necessary for reviewing the
followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply https://publish.sec.or.th/nrs/8264p.doc 6564p.doc
/2020 sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020 http
to efficiently use within appropriate time, including having security system sufficient to prevent an access or https://publish.sec.or.th/nrs/3872pe_r.pdf Microsoft Word - kor thor 65-2547 final.doc
Fund) to ensure that investors receive sufficient information for making investment decisions. In addition, Thai ESG funds will be exempt from the application fee and the fund scheme revision fee