(UNOFFICIAL TRANSLATION) (Updated as of 2015) Form 61-1 1. Application for Approval of Capital Market Auditor Date: ............. Month: ......... Year: .......... Dear Secretary-General, Office of
Pursuant to Section 89/25 of the SEA, the auditor has the duty to report suspicious circumstances that were found from the audit in accordance with the auditing standards. SEC therefore proposes
limited company or a listed company; (2) the required amount of a registered capital; (3) well-preparedness in work systems, financial status, control and good work practices; (4) no financial troubles
clearer scope of duties and responsibilities of trust, trustee and other parties related to the transaction. The rules will be revised to regulate trust as securities issuer, having duty to disclose the
Bangkok, May 15, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of RHB OSK Securities (Thailand) Plc. and disclosed inappropriate behavior of {B}, a
Bangkok, March 21, 2013 ? The SEC informed all securities companies, asset management companies, financial advisors, and derivatives business operators in the capital market on the promulgation of
is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 8/2561 Re: Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of ASEAN
Bangkok, 6 February 2024 – The Securities and Exchange Commission (SEC) has provided an update on the progress of initiatives aimed at enhancing the quality of listed companies and the duty
maximum returns and managing investment risks. The I Code aims to build institutional investors? long-term credibility, and protect the best interest of asset owners and the capital market at large.As