. Additionally, the firm consents to audit quality inspection carrying out by inspectors of the SEC Office; 2. I certify that if an auditor of the audit firm has been registered with the SEC Office, the audit firm
to audit quality inspection carrying out by inspectors of the SEC Office; 2. I certify that if an auditor of the audit firm has been registered with the SEC Office, the audit firm will regularly review
International Standard on Quality Control 1 (ISQC1) issued by the International Federation of Accountants (IFAC). Additionally, the firm consents audit quality inspection carrying out by inspectors of the SEC. 2
of research analysis by non-licensed business operators may be regarded as carrying out the investment advisory service business because such promulgation must only be made by a licensed business
, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor
Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019
market services.In carrying out the mandates and tasks under the Strategic Plan, the SEC has adopted the Innovative Organization Plan to strive for becoming a reliable high-performance organization, with
implementation" 27/09/2021 9.30 - 11.30 น. FA28092021 สัมมนา "Practical issues and challenges in TFRS implementation for IPO" 28/09/2021 9.30 - 11.30 น. PDPA_MOOC2021 ขอเรียนแจ้ง การเข้าอบรมหลักสูตรออนไลน์ CHULA
remedy the emergency situation related to security; re: to prohibit the people gathering, carrying out activity and conspiracy concerning the risk to spread the disease in the country except the family
) using part of such funds to repurchase investment units for Client 1, and (3.2) transferring the remaining amount into her own bank account for personal use.In carrying out the above misconduct, Miss