หัวข้อ due diligence หน้า 1 บทนำ ในการจัดเตรียมข้อมูลของบริษัทมหาชนจำกัดเพื่อให้มีความพร้อมในการออกและเสนอขายหลักทรัพย์ต่อประชาชน ที่ปรึกษาทางการเงินจะต้องศึกษาข้อมูลของบริษัทที่ออกหลักทรัพย์หรือที่
due diligence checklist before investing in complex financial products to promote business standard and competitiveness. SEC Secretary-General Vorapol Socatiyanurak said that the SEC approved the AIMC?s
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
The Securities and Exchange Commission (SEC) participated in a seminar organized by the United Nations Development Programme (UNDP) to elevate Human Rights Due Diligence (HRDD). On behalf of the
Earlier, {X1} had under recorded its liabilities for short-term bills of exchange (B/E) in the annual financial statements for the financial year 2015. The SEC then reviewed the work of {X1}’s
at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
The action follows the revocation of Renaissance FMC’s securities business and derivatives business licenses due to conduct demonstrating a lack of credibility, operational readiness, and serious