companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted by the
). Identify the names of the property appraisal firm and the lead appraiser, the appraisal date and the appraised price. In case of an IPO, the appraised price must not be older than one year after the filing
findings, evidence and the company?s explanations showed ? failed to comply with the generally accepted accounting principles. In November 2010, Chonburi Kanyong Co., Ltd., a CCP subsidiary, sold its
control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or https://www.sec.or.th/EN
include rule revisions to require SEC approved auditors work for audit firms having audit quality control system and inspections to ensure the quality assurance of audit firms? procedures both firm and
period and his re-application for approval as the capital market personnel will be accepted after 9 months as from June 23, 2015. For Kacha, The SEC suspended him from the approved securities investment
. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
") member states. As a consequence, the SEC approved auditors will be exempted from registering with respective audit regulators of EU. SEC Secretary-General Vorapol Socatiyanurak said ?The EC?s recognition
violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital