……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for
total revenues came from a major counterparty. 2. In term of due diligence, failure to have the following information disclosed:(1) Debt repayment ability of a large debtor which is also the applicant?s
August 2020. The meeting opened a stage for discussion and sharing of comments and suggestions on securities and derivatives business undertaking to create possible approaches for reducing obstacles and
Bangkok, 1 December 2017 ? The SEC is giving more focus to the regulation-for-growth approach to meet the demands of the public and all sectors of market participants more appropriately.Mrs
SEC has revised regulations regarding outsourcing, to provide more opportunities for business operators, such as, securities business providers, asset management companies, and derivatives business
Bangkok, September 8, 2014 ? The SEC jointly with alliances and partners from the ?Financial Literacy: Road to Thailand?s Prosperity? Project organized an event on ?Preparing for Happy Retirement
Bangkok, June 5, 2013 ? The SEC revised rules on outsourcing in securities and derivatives businesses to enhance flexibility and efficiency of business operators. The revised rules will become
. Operating Results and Capabilities to Make Profit Performance from revenues, costs and expenses which has significant impact in Q1-2020 can be shown in the following table: Balance by Quarter Change Q1–20 Q4