business operation vaguely. As a result, Finnomena shall not provide business continuously. Moreover, Finnomena did not notify outsourcing function to the SEC Office. SEC Act S.113 Settlement Committee
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
expression of opinion that the auditor’s scope of audit is limited by any act or omission to act of the Thai government agencies, their directors or executives. (3) the Thai government agencies shall not be in
opinion that the auditor’s scope of audit is limited by any act or omission to act of the foreign entity or its directors or executives. The provisions under Paragraph 1 shall not apply to the offer for
opportunities to provide input and comments on the practicality and relevance of draft regulations before they take effect. In the event that new regulations are anticipated to have a wide or significant impact
system of quality management (SOQM)? If yes, Does the firm leadership provide the designated partner with the required authority and resources and take responsibility for the adequacy of firm’s response
Bangkok, July 10, 2015 ? The SEC and the Stock Exchange of Thailand (SET) agreed to provide the information concerning abnormal securities trading in one place. Accordingly, the SEC?s last Turnover
information service was popular among its users.However, SEC has continuously improved and developed the data to provide services to the public by providing a variety of information such as fund raising
service platforms that correspond with consumer behaviors today, including new services to sell mutual fund units. Currently, there are businesses that wish to provide financial services in this area
principle proposes revision to the types of permissible investment products and the qualifications of commercial banks eligible to provide investment and deposit services in relation to asset custody of