companies from the Bank of Thailand; 2. Letters seeking legal opinion and invitation letters for seminars; 3. Research, risk monitoring from Bloomberg. ✓ 1.2 Sources of personal data The SEC Office receives
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
exercise their rights at the upcoming bondholders’ meeting 05/08/2024 | No 161 / 2024 Longroot (Thailand) was revoked of its approval as an ICO Portal 02/08/2024 | No 159 / 2024 SEC receives excellent score
. The Office shall notify the securities company of the result of consideration of the application within thirty days from the date in which the Office receives the https://publish.sec.or.th/nrs
; “ securities company ” means a securities company which obtains the securities business license in the following categories, but exclude a securities company being a commercial bank under the Law on Financial
which obtains the securities business license in the following categories, but exclude a securities company being a commercial bank under the Law on Financial Institution, a life insurance company under
where there are burdensome number of hours required to complete the engagement; and · Engagements for entities in development stage. If no, describe how the firm obtains assurance that it is not
; • Engagements for entities in development stage; and • Requirement from the law or regulation on accepting or continuing a client engagement or withdrawing from engagement. If no, describe how the firm obtains