shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
will simultaneously improve the other elements’ effectiveness. Determined to solidify financial reporting and audit quality, the SEC aims to strengthen all elements of TSQC1 and has, therefore, raised
Activity report 2017En CAPITAL MARKET FOR ALL INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 Executive Summary Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Framework and Focuses in 2018 Root Cause Analysis Summary of Audit Inspection Results A. Firm Level B. Engagement Level Essential Statistics 49 4412 46 0402 07 Contents Executive Summary The capital market is a fundamental component in driving Thai...
statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The transferable subscription right (TSR) shall be determined as a security under Section 4 of the Securities and Exchange
public policy and pre-determined criteria. This exemption rule would facilitate social enterprises in raising fund for their operation to achieve the objectives of promoting employment or solving social
SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
. The special case inquiry official forwarded the request for reentering into the settlement of Miss Angkakarn Tantiviroon to the Settlement Committee. Miss Angkakarn paid the fine as determined by the