Securities and Exchange Act, B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4), B.E. 2551 (2008), which contain certain provisions in relation to the restriction of rights and liberties of
, which had been operating business by virtue of the Transitional Provisions of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018), must cease operation; however, to ensure proper proceeding
the companies will be able to return the money to the clients whenever they ask for, while the agreement on custody of client assets must not contain any provisions denying or limiting the companies
records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will result in their https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN
%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents
Thailand on irregular trading in SLC shares during March 31 - April 29, 2010, the SEC probed into the case and found records kept by the suspects regarding the details of the group trading in SLC shares
audit on the internal control system concerning the B/E issuance, related receipt and payment transactions, and the company's accounting records practice. In addition, KC must examine the issue raised by
both accounting periods, as the financial statements were not in conformity with the generally accepted accounting standards in these following items:1. YNP?s records on the allowance for doubtful