150 days as well, or (2) sending a letter requesting PVD members’ certification of the financial statements and the auditor’s reports on the condition that the certified documents are submitted to SEC
The proposed amendments aim to streamline and simplify mutual fund disclosure which currently requires numerous details and, in some parts, repetitive information is disclosed in other documents that
or falsifying documents. SEC has therefore issued regulations specifying suspicious circumstances and the procedure for obtaining facts relating to such circumstances to be in accordance with the
หมายเหตุ *ดาวน์โหลดคู่มือการจัดทำแบบ 56-1 One Report ได้ที่ลิงก์ https://www.sec.or.th/TH/Documents/LawsandRegulations/OneReport-Manual.pdf
juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
email: san@sec.or.th. The public hearing ends on 13 March 2019. _____________________________ Remark: the hearing documents (Thai language only) are available at https://capital.sec.or.th/webapp
make trading orders on his or her behalf, the investor must issue a written power of attorney and should examine the trading confirmation documents regularly. _____________________________ * Clause 23
in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest
’ meeting and other related documents may be sent electronically.At the same time, SEC is setting out a clear guideline for determining in which cases asset management companies may seek an approval from