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financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
performance to prove that the fund manager’s responsibilities for overseeing and managing the fund as required, This is not in accordance with the work system that notifies the office before requesting to start
business operation of Bitazza. His failure to perform the required duty of his position resulted in the offence committed by Bitazza concerning the case that between September 22, 2024 and September 23, 2024
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit firms in the capital market, and regularly inspects and issues inspection
supplementing documents. Clause 7. The custodian may commence such securities business only after the Office has approved that the custodian has arranged its operation system and personnel to be ready to
its operation system and personnel to be ready to undertake the business as approved. Clause 8. Any changes in the operation system from the system approved by the Office, the custodian shall notify the
in the electronic work system of the Office. Clause 2. The license for undertaking securities business pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities