capacities of an investment consultant and private fund manager without obtaining the necessary license. In this context, he sought public engagement regarding the value of securities and the suitability of
) Extending the time period for commencing the operation of the business from 180 days to 270 days from the date of obtaining the license. Under the proposed rule, the licensee could apply for an extension of
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...
least 2 persons shall be lead appraisers obtaining approval from the SEC; Not appearing that the applicant possesses prohibited characteristics as prescribed; Not appearing that its directors, manager and
units outstanding, directly or indirectly, possibly from causes such as increasing investments, obtaining a waiver as an eligible case specified above, or any actions in good faith that do not include
units outstanding, directly or indirectly, possibly from causes such as increasing investments, obtaining a waiver as an eligible case specified above, or any actions in good faith that do not include
. Such application shall be filed with the SEC via the SEC Office within one hundred and twenty days from the date obtaining the Minister’s approval in form and together with supplementary documents
. Such application shall be filed with the SEC via the SEC Office within one hundred and twenty days from the date obtaining the Minister’s approval in form and together with supplementary documents
the ratio of 5.1% in the corresponding period last year due to employee related expenses and one-off item which is a donation of THB 50 million to Chaipattana Foundation to aid fight against COVID-19
used to aid or abet the others in connection with such behavior; or (2) has or used to have any behavior that, if considered on a reasonable ground, indicates unfair practices or disadvantage to