part of financial conglomerate which has share holding structure, examination of internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has
aiding or abetting thereof; (b) an offence regarding documents or accounts such as falsifying documents, using or referring to falsified documents, informing the competent officer to record false
company who fails to perform his duties with responsibility, due care and loyalty.) Section 305 (Person who damages, destroys, conceals, any property or document which the competent officer has seized
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
) adding the competent personnel to support the future growth plan; 4) an establishment of a new subsidiary namely "Malee Applied Sciences Company Limited", whose objectives to encourage farmers’ incomes as
In cases where the SEC Office considers that it is necessary and expedient, with the applicant’s consent, the competent officer shall be empowered to enter into the place of business or address of such
the Shareholders’ meeting has approved such disposition of assets. The payment shall be made in full prior to apply for the transfer ownership with the competent authority. 6. Expected Benefits for the
after closing. 6. There is no order, injunction, judgment, decree, regulation or court order issued by any governmental authority, regulatory body or court of competent jurisdiction which is in force, and
Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5 Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval proc...