. Other securities regulators in an ASEAN jurisdiction may be included in the Framework when they meet the entry requirements. ASEAN exchanges with a substantial role in reviewing qualitative listing
newly issued securities. The SEC?s review on working paper indicated that Chanunkorn had made mistakes in auditing and reviewing financial statements of two public limited companies applying for public
units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units
business operating or derivatives business to intermediaries. Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity plan; (2
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to
Mrs. Pornanong Budsaratragoon, SEC Secretary-General, said: “After the Thai ESGX regulations took effect on 16 April 2025, the SEC is currently reviewing applications for the establishment of 37 Thai
management of the service provider in the foreign country; (3) criteria for reviewing and changing a service provider; (4) guidelines for subcontracting the outsourced function by the service provider to