issuing branches must be provided to better reflect credit risk.SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved revision of regulations on
his approved investment consultant status had expired earlier, the SEC will not consider an application for approval as capital market personnel for two years. Taking into account of a 16 day suspension
advance notice, if the outsourcees are: financial institutions, subsidiaries of the business operator, audit firms where the SEC-approved auditors work, the Stock Exchange of Thailand or its subsidiaries
due diligence checklist before investing in complex financial products to promote business standard and competitiveness. SEC Secretary-General Vorapol Socatiyanurak said that the SEC approved the AIMC?s
capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved
placement, the Capital Market Supervisory Board approved the revision of private placement rules to require the listed companies? board of directors be responsible for consideration on reasonableness of
securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed
Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The
this year. The Capital Market Supervisory Board approved the revision of regulations concerning cross-border offerings of debt securities and CIS in line with ASEAN Capital Markets Forum (ACMF)?s