of exchange issued, accepted or avaled by or drawn on financial institution will no longer be exempted but will be defined and regulated as securities under the Securities and Exchange Act B.E. 2535
are some issues inconsistent with the generally accepted accounting standards, as follows: 1. NIPPON has not recorded liabilities on promissory notes and current account with a local bank
specified internationally accepted accounting standards;- The SEC-approved financial advisor must provide service and advice for three years;- Additional information must be disclosed in the registration
funds that may not have already accepted retail investors. Previously, mutual funds were allowed to invest in SET-listed infrastructure funds or those offerred to retail investors only; (3) Relaxation of
accepted, starting from December 7, 2012. Earlier, he had submitted a letter to the SEC for termination of his status as the SEC approved auditor, effective March 30, 2012.
more transparent and reliable.?The SEC has been a member of IFIAR since September 2010. To be accepted as an IFIAR member, an audit oversight authority must demonstrate its independence from audit
phone and Line Application. However, the recorded conversation showed that she accepted to trade securities on behalf of clients.Failure to disclose specific risk of securities and trading securities on
categorized type of the client , the intermediary shall notify the client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing
already categorized type of the client, the intermediary shall notify the client to acknowledge the result of the client’s categorization, rights, restrictions and risk level, including right to request for