maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff
. Assigning competent audit staff to each engagement as required by auditing standards and determining performance evaluation criteria to reflect performance quality could help improve the deficiencies; (3
Companies Act B.E.2535 (1992) as soon as possible. They are also duty-bound to observe other laws associated with such order. Organizing a shareholders meeting in line with the DBD’s consideration would
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
having been settled the case with a fine for such offence; (d) having been pending under charge or criminal proceeding by competent authorities for the offence under (c). (5) directors, managers and any
securities and exchange. “competent officer” means a person appointed by the Minister to act in accordance with this Emergency Decree. “Minister” means the Minister in charge of the execution of this Emergency
governing securities and exchange. “Office of the SEC” means the Office of the Securities and Exchange Commission under the law governing securities and exchange. “competent officer” means a person appointed
. “competent officer” means a person appointed by the Minister to act in accordance with this Emergency Decree. “Minister” means the Minister in charge of the execution of this Emergency Decree. Section 4. The
Exchange Act (No. 3) B.E. 2546 2 indicated amendment by the Securities and Exchange Act (No. 2) B.E. 2542 4 "competent official" means a person appointed by the Minister to execute the duties in accordance
trading in the Securities Exchange. "competent official" means a person appointed by the Minister to execute the duties in accordance with this Act and whose name is published in the Government Gazette