suggestions on the website or via email: corporat@sec.or.th. The public hearing ends on 26 July 2023. ________________________Remarks: *Regulatory Guillotine is the process of reviewing and eliminating or
, while reviewing the existing regulations to be in line with the current situations and remain as necessary for more convenience, less business-sector costs, lower burden on people and compliance with the
and continuous audit work for listed companies in compliance with stricter professional standards. The SEC is therefore reviewing related regulations* and proposing the requirement of a minimum of
advisor supervisors failed to exercise due care in reviewing the information thoroughly which may mislead investors into believing the company continued to expand the business capable of generating
. Other securities regulators in an ASEAN jurisdiction may be included in the Framework when they meet the entry requirements. ASEAN exchanges with a substantial role in reviewing qualitative listing
newly issued securities. The SEC?s review on working paper indicated that Chanunkorn had made mistakes in auditing and reviewing financial statements of two public limited companies applying for public
units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units
business operating or derivatives business to intermediaries. Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity plan; (2
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to