Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (2) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (1) 4 (Human Resources) ( ) ( ) 5
of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is
of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association1, with an approval of the SEC Office, except that the intermediary which is
each. The acceptance of the fine penalty by most of the offenders will be used to furtherance the merit of the SEC?s criminal complaint against Siwasit, Noppawan and Viroj. In addition, Kornyachath?s
facilitate operation of business sectors, scheduled for completion in Q4 of 2021 collectively and concurrently and the consideration is divided into three areas, namely (1) acceptance of reports via electronic
) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9132 ’ digital assets under BX’s control
and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be
Connected Transactions B.E. 2546 in the category of a transaction of acceptance financial assistance and the size of transaction is required to obtain the approval from the Board of Directors Meeting of the
of conduct specified by the SEC Office, or by the Association of Investment Management Companies with approval of the SEC Office; (3) the professional ethics and standards specified by the Association