companies licensed to undertake the said businesses. In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing
. Previously, the SEC notified VTE to rectify its 2013 and Q1/2014 financial statements due to the auditors? qualified opinions resulted from limitation on their scope of audit/review. Hence, the auditors were
Bangkok, August 26, 2014 ?The SEC is seeking public comment on proposed common offering rules for new financial products not falling within a scope of any existing rules. Introducing the common rules
scope of work. In addition, CL did not inform the SEC about the outsourcing. SEC Act S.100 in conjunction with 113 Settlement Committee Meeting No. 2/2025 Settlement Committee Order No. 20/2025 Dated
scope of work. In addition, CL did not inform the SEC about the outsourcing. This case is in the process of inquiry by the inquiry official. SEC Act S.100 in conjunction with 113 Criminal Complaint
the SEC office on March 19, 2021 and the auditor is limited its scope of the review or audit by the GL’s executives of the securities issuer for that the financial statement that caused MD&A for Q3
of the Securities and Exchange Commission. Chapter 1 Scope of the Provisions Clause 3. This Notification shall not apply to the appointment of a fund manager who makes decisions to invest or dispose of
institutes accepted by the Office; “Office” means the Office of the Securities and Exchange Commission. Chapter 1 Scope of the Provisions Clause 3. This Notification shall not apply to the appointment of a
issuer and those who have an opportunity to make use of such inside information ; (4) clear scope of authority , duty and responsibility of directors, executives and work units. Clause 7 A securities