Certification of audit firm leader Date……..Month………….Year………… Dear Secretary – General of the Securities and Exchange Commission I, Mr./Mrs./Miss………………………………………………….… (leader’s name), the leader of
firm executives against whom the SEC files a criminal complaint as person of untrustworthy characteristics, active participation of minority shareholders in Extraordinary General Meeting of Shareholders
Minister of Foreign Affairs of Thailand leading representatives from public and private sectors. The meeting featured exchanges of views and strategies on investment promotion, business opportunities, and
At the SEC Meets the Press session today, Secretary-General Pornanong Budsaratragoon shared her perspective and vision for leading the SEC organization after recently assuming office. “I have taken
an opinion on audit reports; 2.2 being affiliated with an audit firm that has an audit quality control system and the required number of personnel; 2.3 meeting other requirements, e.x., not having
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
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm