applicant; (3) Certification of the leader of the auditor firm; (4) Profile and details of the audit firm; (5) Cover letter for delivery of the evidentiary documentation related to the audit firm; (6) Copy of

return rate and the investment term were written on the cover of the client's fund book. The SEC has therefore suspended approval for {B} as a securities investment consultant for a period of two years

include:   - disclosure of additional information to cover individual remunerations for executives of the highest rank, e.g., chief executive officer and managing director;    - extending the periods for

limited only to major investors or high net worth investors.The guidelines proposed by SEC for supervision and encouragement of such business cover 4 key points as follows:1.     The process for wealth

example, some respondents proposed that a red list of activities be created, and the scope of Thailand Taxonomy be expanded to cover other economic activities (i.e., manufacturing and agriculture) in the

the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

drafting the relevant notification that would cover the scope of products for which the business operators can provide services, being listed products on the Thai capital market and foreign capital

is intended to propose the draft notification that will cover the clear segregation of work for the delegation of other persons to operate.  The draft notification also allows business operators to

principle the proposed guidelines which cover four major areas, as follows:  (1) To support current PVD employers in signing up employees for PVD membership automatically unless opting out; (2) To promote