accepting any audit engagements; assess the firms? adequacy of human resources with sufficient skills, knowledge, and capabilities to deliver high quality audit work; and improve risk assessment criteria to
? roles to support their subsidiaries? overseas business expansion and the services of personal asset allocation as well as wealth advisory. SEC Secretary-General Vorapol Socatiyanurak said after the
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
, exercise their rights to protect their own benefits and seek clarification or explanation from the company directors and executives so as to have sufficient information for their decision-making.The above
. The amendments would promote growth of fund sizes and sufficient retirement savings.SEC Secretary-General Rapee Sucharitakul said: ?The SEC?s primary role is to promote sustainable growth of our capital
Bangkok, May 7, 2013 ? The SEC has encouraged securities companies to prepare company reports on top 10 or 20 securities with active trading volumes to provide investors with sufficient information
could step into the secondary market for buying or selling when needed. Presently, 14 dealers have signed Memorandum of Understanding (MoU) with ThaiBMA to ensure their services while the others are
’ meeting, to ensure that shareholders are provided with sufficient and appropriate information for their consideration; (3) Shareholders would not be granted a veto right in cases of PP offerings at a
Arrangement, Operating Systems and Providing Services of Securities and Derivatives Intermediaries dated 6 September 2556, the SEC hereby issues the following regulations: Clause 1 In this Notification