Commission: I, ………(applicant’s name)………., a certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including
disclose the PVD factsheet of the newly added investment policy to the public and the PVD members, as well as submit that PVD factsheet to the SEC at least one working day before offering the newly added
SEC Working Principles Our Policies Signatory of Investment Government Code (I Code) Stakeholders in the Capital Market Our Structure SEC Board Capital Market Supervisory Board SEC Executives The SEC
I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name
resources development, and facilitate systematic linkage of working process for optimum results.? LED Director-General Ms. Ruenvadee Suwanmongkul said: ?This mutual effort exemplifies our promotion and
working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that
to the SET referral and the SEC further investigation, it has been found that during 25 February - 17 March 2015, Surachai, Somsak and Orthai, who were clients of Phichayada (at the time working for a
issues that were discussed during the meeting include oversight of Crypto-asset trading platforms, the establishment of the supervisory cooperation working group, and guidelines in organizing supervisory
securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed