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
; “securities investment analysis” means an analysis on information in connection with securities in order to make an advise or to disclosure such analysis directly or indirectly about the value or an appropriate
any other securities; “securities investment analysis”4 means an analysis on information in connection with securities in order to make an advise or to disclosure such analysis directly or indirectly
information in connection with securities in order to make an advise or to disclosure such analysis directly or indirectly about the value or an appropriate of investment in such securities; 1 Amended by
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
Statements which need to be revised ( 0 record(s) found) Order Date Company Name Reviewed Financial Statement Details Data not found Last updated on 19 January 2023
Statements which need to be revised ( 0 record(s) found) Order Date Company Name Reviewed Financial Statement Details Data not found Last updated on 16 January 2023
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
order; however, the alleged offender has evaded the arrest and has been pursued for case proceedings. SEC Act S.301 Criminal Complaint Filed with an Inquiry Official Dated 09/03/2004