monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
net profit* margin of 13.7%, +110 bps YoY. Our strategies are to focus on core products and defend profit through supply chain, operation costs and expenses control, such that A&P have been cut or
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
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
) Certificate of Juristic Person Registration or Incorporation Document of Audit Firm with which the Applicant is Affiliated and Shareholders’ List Original: 0 copy Photocopy: 1 copy Remark: Sign to certify on
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
, with a focus on fostering collaboration and driving sustainable crowdfunding for SMEs. This was the third quarterly meeting of 2024, taking place on 17 October 2024, at the SEC Building.
focus on preventing, deterring and suppressing inappropriate behaviors and misconduct as well as effective enforcement in all cases, at a media briefing on 6 February 2024, at the SEC Building.More