work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the
accredited investors. In this regard, certain qualifications such as audit work experience, past experience in certifying financial statements, and size of company, may be relaxed. It should be noted, however
) Performing work in a manner that indicates a lack of professional ethics or standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates
any person holding an equivalent position but called otherwise, who are responsible for a line of work relating to the offering of securities services, the securities operation or research on securities
executive director including deputy manager, assistant manager, department director and any person holding an equivalent position but called otherwise, who are responsible for a line of work relating to the
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Entitled “WEPs Principles to Actions,” the workshop was conducted in partnership with the Securities and Exchange Commission, Thailand (SEC), and Thai Listed Companies Association (TLCA), as part
bonds: The Thai Bankers’ Association, the Government Savings Bank, Thai insurance providers, and the Government Pension Fund have together set up a 70-100 billion baht Corporate Bond Stabilization Fund