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=440&rows=10 441 - 450 of 461 results Sort by: Relevance Date (Newest) Date (Oldest) SEC warns the public and investors to be cautious of unlicensed business operators service providers involved in
Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
Bangkok, November 9, 2011 ? The SEC ordered Tongkah Harbour Plc. (THL) to arrange a special audit with regard to the company?s internal control, appropriateness of connected transactions and asset
SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with
Offices dated 2 April 2008 shall be repealed and replaced with the following provision: “Clause 5. The securities company shall arrange for the full-service branch office to have the following work units
become acknowledged by its personnel. In addition, the intermediary shall organize and supervise directors, executives and other personnel to conduct their functions pursuant to such policy. Clause 18 The
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and