prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
shall impose stricter sanctions to further ensure fairness and market reliability.
SEC Secretary-General Rapee Sucharitkul revealed that “independence of the auditor is a key factor in establishing the reliability of the financial reports. When the international standards on this
collaboration seeks to build confidence in the Thai capital market, ensuring widespread and fair benefits for all sectors with transparency and trustworthiness. The discussions also covered topics that the SEC
possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
______________________________________________________________________ Remark: The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore
issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the
financial statements on cost of sales and inventories which revealed lack of efficiency and reliability of AIE internal control system. The auditor was thus unable to gather sufficient evidence for such
months. ?Investor contacts must maintain trustworthiness and integrity in the profession. They must strictly comply with the regulations. The SEC will not tolerate, and will take legal action against