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
construction, area size, and materials selection - Product database development fees : Fees depending on the scope of work, the number of product database, and man-day in services - Sales management fees : Fees
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
who wishes to use derivatives investor contact service shall submit an application to the Office along with documents and details as follows; (1) Scope of using of derivatives investor contact service