The Securities and Exchange Commission (SEC) supported the Thai Investor Association (TIA)’s Kick Off - AGM Checklist 2024, as part of the continuous endorsement for the project which presents an
violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with
into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
aspects and age groups is attracting support and endorsement from all sectors. The SEC recognizes and commends businesses that value the importance and benefits of providing knowledge to the public on a
engagement levels. Thus, the quality of SEC?s auditor supervision has been internationally recognized, as evidenced by IFIAR?s acceptance as a member in 2010. In addition, the European Union?s endorsement in
Clause 28 Personnel in the capital market business shall not possess the following prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law
the termination of membership. Deficiency of the termination of membership for any reasons or PVD members’ failure to receive cheques have brought about soaring unclaimed money, which the AMCs are
Future Foundation (TFF), as moderator. The seminar was organized by TFF under the endorsement of the Capital Market Development Fund (CMDF) with the main objective of sharing perspectives and guidelines