The SEC Secretary-General together with the Management Team convened a joint meeting yesterday with the Investment Banking Club led by President Mr. Somphop Keerasuntonpong to discuss cooperation in the development and enhancement of fundraising regulations, emphasizing the mutual assistance in screening companies offering securities for sale to the public and applying for listing on the stock exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of fi...
applicant personal information - foreign auditor (normal)
new requirements aim to help escalate both quality and quantity of the valuers in support of increasing capital market product variety.SEC Secretary-General Vorapol Socatiyanurak said that the SEC
SEC Office may reject the application for approval under Part 2 or Part 3: (1) an applicant or an offer for sale of securities has the characteristics in compliance with the rules or conditions for
of securities public offering ("the applicant") as follows: 1. Incomplete disclosure concerning reliance on the applicant?s major counterparties, which might have been misleading. The applicant?s
draft prospectus for initial public offering of shares. The SEC's probe found that {X1} Company and {A} did not exercise due care in verifying relationships between the applicant and a company in the case
Securities and Exchange Commission (public agency) Rules, procedures and conditions (if any) for submitting an application and granting an approval: 12.1 The applicant must be a foreign auditor under
, procedures and conditions (if any) for submitting an application and granting an approval: 12.1 The applicant must be a foreign auditor; 12.2 The applicant must have the following qualifications as specified
apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal
securities or investment units. “major shareholder” means a shareholder or a beneficial owner of shares in the amount more than 10% of the total number of voting rights of the applicant. For the purpose of the