individuals who serve as their directors, executives or major shareholders as it is part of the mechanism preventing persons involved in fraudulent, deceptive or corrupt activities from holding managerial or
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
Bangkok, December 28, 2010 ? The SEC today filed a criminal complaint with the Department of Special Investigation against persons involved in the manipulation of shares of three companies, i.e
/or admitted to trading. B. Entities Providing Liquidity. If any entity has made a firm commitment to act as intermediary for the debt securities in secondary market trading, such as market maker
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting