firms did not concern over significant client’s issues before accept those clients. Example 1 : There was insufficient documentation regarding client acceptance evaluation. In addition, some evaluation
issue the notification to the public specifying the period for consideration of the issuance of a license and granting of an approval under this Act. In cases where an application for a license or for an
the management views as material risks on the business, operation, financial condition, operating results or going concern or the group of companies; - Investment risk imposed on the securities holders
management views as material risks on the business, operation, financial condition, operating results or going concern or the group of companies; - Investment risk imposed on the securities holders. Identify
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
more than 5 years from issue date Not over 7 years from issue date Offering Amount Current outstanding amount equal to/not more than Baht 1,500 million The aggregate amount of all outstanding debentures