unit; for instance, to monitor development of new regulations, work as knowledge center for all employees, inspect or review compliance of business operations, prepare operational inspection plan and
's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the customer should consider the suitability with the purpose of
oversee the auditors of PIEs, protect investors? interest and promote confidence in the quality and reliability of audited financial statements of PIEs. As at 31 May 2015, a total of 306 individual auditors
postpone the transfer until they can inspect their units by themselves. Potential Thai buyers, on the other hand, adopting Social distancing, a well-known campaign during COVID-19 outbreak, opted to delay
net worth investors and venture capital enterprises, but no more than 300,000 baht to each individual investor. A combined amount sold to individual investors must be no more than four times of
, insurance company, and mutual fund (2) high-net-worth individual (3) retail investor or juristic person with minimum of 2 million baht initial subscription. The persons in (2) and (3) will be required to have
institutional investor or high net worth individual, investment units to be offered for sale must be disclosed on the SEC website and be traded at the same time and on the same day as its home country, except in
will regularly review and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the