, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the notification of the Office when
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public at a financial technology exhibition held at a shopping center. The SEC thus conducted an on-site investigation to collect evidence. Today, the SEC and the ECD inspected the exhibition booths at the
securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable standard. Such units shall undertake independent
, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable
information within 30 days. In June 2017, the SEC required EARTH to arrange a special audit on the transactions of the advanced payments for goods and the payment for the right to purchase goods. The EARTH’s
matters: (1) granting a waiver of an event of default under the terms and conditions in the case where the company is unable to arrange for the bondholder registrar to notify the Thai Bond Market
could be permitted. In this regard, SEC will arrange a meeting among Thai asset management companies, SFC, the Financial Services & the Treasury Bureau, the Hong Kong Monetary Authority and Hong Kong