Securities and Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will Appoint as Executive Report/Form (Notification of Securities and Exchange Commission
punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
imprisonment for a term of five to ten years and a fine of THB 500,000 to THB 1 million. The SEC is also investigating other issues in connection with the fair value of assets and records of accounts, and if
25/02/2005 8. Circular 13/2544 22/02/2001 Report/Form (Notification of Securities and Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will
://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-secact.doc ACT-SEA1992-AMENDED.PDF Committee. SECTION 14/2.4 The Audit Committee shall have the following powers and duties: (1) re-examining and
orders; and (6) To require that securities companies establish a work system for post-trade monitoring and examining clients’ executed trading transactions through random inspections of potentially
debts of approximately 4,025 million baht within next year. This includes methods of examining or supervising NUSA Executive Board’s consideration of the sale of each project's assets that aligns with the
application, a website application for examining the financial health of your retirement fund plan.Furthermore, SEC also held a seminar “SEC Caravan, Knowledge on Capital Market for the Chiang Mai People
executives with prohibited characteristics, (4) putting in place issuer due diligence and product screening systems, (5) examining issuers? business plans and the source codes of smart contract, (6) conducting