The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as

regard, the SEC advises investors currently using these platforms to take steps to secure their assets before the access restriction takes effect. The SEC advises the public and investors to be cautious

. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application

2 of Clause 67 shall be applied: 15 (1) fast track case, the applicant shall be qualified in accordance with the rules in Clause 23(2) and (3) and the SEC Office shall proceed in accordance with the

February due to COVID-19 as some of our sites in China, India and Italy were impacted. We have taken proactive steps to reduce our inventories, reduce our capex by US$300M and actively manage our costs

maintain their status as a capital market auditor without immediate termination, provided that steps are taken by the auditor to make rectification to obtain the prescribed qualifications within the given

operating systems that support all five steps of the complete wealth advice process, namely (1) exploring and understanding customers, (2) constructing an investment portfolio, (3) implement the portfolio

after year, audit firms should continue to improve their auditing techniques along with policies and methods, and also take steps to develop a root cause analysis to have better understanding on factors

หมายถึง ใช้เกณฑ์เดียวกับ IPO และเลขท่ีข้อ ท่ีระบุในตาราง หมายถึง เลขท่ีข้อ ในร่างประกาศว่าด้วยการขออนุญาตฯ IPO ภาค 2 หมวด 1 ส่วนท่ี 1 PO ปกติ ภาค 2 หมวด 2 ส่วนท่ี 1 PO fast track ภาค 2 หมวด 2 ส่วนท่ี 2

proposed rules (fast-track feature) would facilitate a faster PO launch because the SEC?s consideration period would be shortened to 14 days concurrently with the cooling period. They would also allow a