Licensed Firm must conduct proper due diligence of the Professional to ensure that he/she has satisfied the entry requirements as prescribed by the Host Regulator. 3.3.3 Validity of ACMF Pass (1) The
securities issuers, financial advisors, auditors, market intermediaries, and stock exchanges. Both market integrity and investor protection could not be achieved without high quality financial information
Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a
procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4
entirely to non-retail investors, including institutional, high net worth and ultra-high net worth investors whose qualifications are as specified by the SEC Thailand. Yes No If “No”, please specify
transactions of the Company are reasonable in the normal course of business due to all transactions are taking to supporting the business operation and also the terms and conditions are satisfied. Total size of
of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
appeal? The SEC Office reconsider- action Revoke or amend the order Administrative Court The SEC Board consideration Is the appellant satisfied? The SEC Office imposes the sanction. Administrative Panel
satisfied and the parties have fully complied with the conditions in the share purchase agreement. Aforementioned purchases were made prior to the dissemination of such inside information by Siam Commercial