SEC Secretary-General Ruenvadee Suwanmongkol said: “The auditing context has evolved significantly over time. The SEC thus revises the requirements on approval of auditors in the capital market specified in the SEC Office Notification No. Sor Shor. 39/2553 to be in line with the current situation. The amendments aim to facilitate high potential auditors’ entry into the capital market to sufficiently support capital market growth. Essentially, the amendments will (1) lower the requirement...
Line "ผู้แนะนำการลงทุน (เลขที่ทะเบียน IC 048919)" impersonate "Investment Consultant with approval Identification number 048919" : Unlicensed securities and derivatives business (Disclosure Date : 06
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
take the issue into consideration. The proposed revisions will include requirements on (i) adequate numbers of investor contacts, (ii) presentation of seller (i.e. showing of identification card), (iii
September to the 15th day of December of the year when such approval will expire. Please enter search criteria. Name - Surname Or Approval Identification Number Specify Name or Surname Specify Approval
”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the
(“UMI”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with