of the companies? annual financial statements 2015 after the auditors had issued a disclaimer and expressed a qualified opinion on the said financial statements because the scope of the audit was

regulator of the recognized ACMF member will be exempted knowledge test on products and rules and regulations in the host country and subject to the specified scope of supervision, such as performance of

2023 to introduce and clarify the scope and expectations of the Guidelines. On 30th January 2023, the SEC in collaboration with the UK Government and CDP will host a webinar on the topic, “Improved

conditions must be put in place. “This regulatory amendment will open up opportunities for interested entities to set up and manage a high yield bond more flexibly within a permissible scope. Once

loss due to price volatility, cybersecurity risk, risk on personal data leakage, and exploitation as a money laundering tool.  The SEC Board has therefore considered exercising authority within the scope

, officer or employee of that exchange or center;            (6)  extends scope of prohibitions against unfair practices to cover trading of securities in all trading platforms or venues. The consultant paper

outside the scope of supervision of the SEC is available at https://market.sec.or.th/public/idisc/th/InvestorAlert. For inquiries or reports of leads or suspicious acts, please contact SEC Complaint

financial statements for Q1/2016 and Q2/2016 because the auditing scope was limited by the company’s executives. Consequently, the auditor was unable to find sufficient evidence to justify the management’s

disclaimer and expressed a qualified opinion on the said financial statements because the scope of the audit was limited by the companies’ executives. Both AIE and AI must submit the corrected and audited

. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to