allowed to develop its own suitability test and may attach it with securities subscription form to give client adequate time for appraisal of risk appetite. In case of existing client who has done the
and platinum derivatives providing that they have adequate personnel ready to provide such services to investors,? said SEC Secretary-General Thirachai Phuvanatnaranubala. The SEC will also propose for
convenient, (3) review details of commitment between unitholders and asset management company to be more complete and (4) revise form and content of prospectus to ensure comprehensible and adequate disclosure
addressed a concern on legal issues in case where the foreign bank branches in Thailand encounter financial hardship and the assets located in Thailand are not adequate to cover the repayment of all
underwriter to issue 4 consecutive quarterly research papers after the initial public offerings process to provide the public adequate and ongoing information for investment decision making. The SEC is seeking
Mekong Sub-region (GMS) countries, namely, Cambodia, Laos and Myanmar. Under the revised rules, investment diversification will be relaxed while clear and adequate information on GMS instruments must be
, underwriters must put in place an effective conflicts of interest prevention system. This aims at facilitating under the current circumstances.Meanwhile, the SEC supported investors to have adequate and ongoing
upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the
AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific
2562 1 (Leadership Responsibilities for Quality within the Firm) ( ) (2) 2 (Relevant Ethical Requirements) ( ) ( ) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (3