. Auditing performance by YNP?s auditor -Somchai Kurijitkosol of SK Accountant Services Co., Ltd., was then brought under the SEC?s investigation where Somchai?s serious audit mistake and non-compliance with
related to business operation regarding benefits for economic and social development, potential for long-term business continuity or compliance with other laws including environmental impacts beyond legal
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
peruse the tender offer information cautiously and keep abreast of the offer price adjustment and the required extensions. Regarding the non-compliance with the tender offer rules, the SEC will consider to
one-fourth of board members by January 1, 2016. From January 1, 2016, new licensees must appoint independent directors in compliance with the specified proportion prior to commencing business
and fund supervisor as well as investment requirements. The offering of ASEAN CIS will be made through securities companies in Thailand and in compliance with disclosure rules comparable to the
allowed to outsource only to subsidiaries, audit firms, or financial institutions. For instance, outsourcing risk management and compliance will be allowed only to subsidiaries; while the fund investment
, etc. For cross-border offering of CIS under ASEAN CIS framework, the SEC may grant a waiver of compliance with Thai regulations for Thai asset management companies? offshore offering to promote the
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management