cost and revenue. The information material to investment decision such as key risks and progress of projects was therefore deficient.Their actions were considered as failure to comply with the SEC Office
exploitation of such information to take advantage of the fund for the benefit of oneself or others. Presently, all companies have already made progress on this matter accordingly.Vasant Thienhom, SEC Deputy
the Anti-Money Laundering Act (No. 4) B.E. 2556 (2013) and the Counter-Terrorism Financing Act B.E. 2556 (2013).The promulgation of the above Acts demonstrates significant progress in meeting
Bangkok, January 21, 2013 ? The SEC participated in the International Forum of Independent Audit Regulators (IFIAR)?s global survey with a view to making further progress in improving audit quality
Approval and Granting of Approval Division 1 Application for Approval Clause 15 The submission of an application for obtaining approval to be personnel in the capital market business and a renewal of such
Agreements with Clients prior to Providing Services ______________________ Division 1 General Provisions _______________________ Clause 10 In cases where an intermediary is required to make an agreement with a
positions for the clients by other law. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ______________________ Division 1 General Provisions _______________________ Clause 10 In
user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
staff and user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other