breach of duty is found. The above unprofessional acts were in violation of Clause 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of
Association of Securities Companies with the SEC approval. In addition, the Capital Market Supervisory Board has approved revision on regulations to require securities underwriter either equity or debt
applicant fails to comply with the post-approval conditions. The amendments on whitewash are in accordance with the existing principles whereby the applicant shall be granted a waiver provided that the
Bangkok, December 13, 2010 ? The SEC will impose the revised rules governing approval of share issuance for public offering on January 1, 2011. The amendment is part of the SEC?s move toward
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) กล่าวว่า ก.ล.ต. ได้ปรับปรุงระบบการรับจดทะเบียนกองทุนสำรองเลี้ยงชีพ (Online Fund Approval and Management
proposed for shareholders? approval, shareholders should seek further clarifications from the company and board of directors for insightful decision-making.Shareholders and investors can find the relevant
re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months and {B
SEC?s approval list who also work for leading auditing firms (big 4). The special audit will cover the transactions with MILL?s business alliances which may be considered as related parties and shares
regulations on approval of auditors whereby the approved auditors must work for audit firms whose audit quality assurance system must be reviewed by the SEC. By the announcement, Thailand is now recognized as