efficiently. Essentially, the proposed revisions cover the following key domains:(1) Establish multiple levels of expected security controls and oversight techniques that apply differently to licensed
to Thai capital market as stated in the Master Plan for Capital Development approved by the Cabinet and the SEC?s strategic plan for 2010-2012.The SEC will push forwards the following aspects, in
procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems’ impact on the business operation of
with the rules, conditions and procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems
สิ่งที่ส่งมาด้วย 3_ตัวอย่างแบบฟอร์มการประเมินความรู้ความสามารถในการลงทุน (knowledge assessment) สำหรับการลงทุนในผลิตภัณฑ์ในตลาดทุนที่มีความเสี่ยงสูงหรือมีความซับซ้อน
signature in giving opinions on the auditing of the following financial statements: (1) financial statements of a foreign company applying for a public offering of shares in Thailand, or having been granted
who is supervised by a regulator who is located in a foreign country and has any of the following qualifications, the SEC Office shall consider that the intermediary has complied with the provisions in
supervised by a regulator who is located in a foreign country and has any of the following qualifications, the SEC Office shall consider that the intermediary has complied with the provisions in the
the same period of last year at 15.1%. This is due to the increasing demands in Europe and America markets following the recovery in economy in these regions. Another outstanding product is DC FAN and