Bangkok, May 2, 2012 ? The SEC has directed Singha Paratech Plc. ("SINGHA") to rectify its financial statement for the year 2010 due to the scope of audit limitation imposed by the company?s
Bangkok, March 27, 2012 ? The SEC directs Pan Asia Footwear Plc. ("PAF") to rectify its financial statements for Q3/2011 and year 2011 due to the company ' s management imposed scope limitation and
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency incidents which may cause major
As the SEC and SFC have developed the bilateral cooperative framework regarding HK-TH MRF to facilitate cross-border offerings of funds between Hong Kong and Thailand, this by extension will help
Exchange of Information on Cross-border Offers of ASEAN Collective Investment Schemes to Non-retail Investors or the Memorandum of Understanding on Streamlined Authorisation Framework for Cross-border Public
Securities and Exchange Regulator of Cambodia (SERC) และร่วมหารือแนวทางการส่งเสริมความร่วมมือหน่วยงานกำกับดูแลตลาดทุนระหว่างไทยและราชอาณาจักรกัมพูชา ในประเด็นการพัฒนาผลิตภัณฑ์ในตลาดทุนข้ามกัน (cross-border
Privacy Policy Personal Data Protection Policy for Investment Management The Office of the Securities and Exchange Commission (SEC Office) 0. Scope of this Policy This Personal Data Protection
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and
document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and intensity of the procedures mentioned in