. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the

expanded investment scope. The SEC also held a session on 14 August 2024 to clarify these amendments for AMCs and relevant business operators.   Under the new criteria, Thailand ESG Fund can invest in a

in becoming the wealth advisor.The wealth advisor may choose to carry out the wealth advice services according to its business model within the scope of the license obtained and must have the

on scope of audit imposed by the companies’ managements. AIE and AI must submit to the SEC and publicly disclose the rectified and audited 2014 financial statements by May 27, 2015. AIE was also

auditors were unable to express opinions due to limitation on scope of audit imposed by the companies? managements. AIE and AI must submit to the SEC and publicly disclose the rectified and audited 2014

ดูแลบริษัทจัดการและกองทุนรวมนอกจากนี้ CSSF ยินดีให้การสนับสนุนการเสนอขายกองทุนไทยในยุโรปภายใต้กรอบความร่วมมือ Alternative Investment Fund Managers Directive (AIFMD) ซึ่ง ก.ล.ต. ได้เข้าร่วมลงนามในบันทึก

in auditing and reviewing its 2014 and Q1/2015 financial statements where the auditor expressed qualified opinions due to limitation on scope of audit imposed by the company management. EIC must submit

scope of digital asset business currently covers only digital asset exchange, digital asset broker and digital asset dealer. Therefore, the SEC Board views it appropriate to add digital asset advisory

Bangkok, September 1, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its Q2/2014 financial statements due to auditor?s qualified opinion arising from scope restriction. VTE is then

. EUROPEAN COMMISSION PRINCIPLES OF PUBLIC OVERSIGHT DIRECTIVE 2006/43/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL OF 17 MAY 2006 CHAPTER VIII Article 32 Principles of public oversight 1. Member States