company who fails to perform his duties with responsibility, due care and loyalty.) Section 305 (Person who damages, destroys, conceals, any property or document which the competent officer has seized
traded through other securities companies under clause 24/1, the securities company shall have its employee bound to comply with the rule prescribed under clause 24/1. In case where the spouse and minor
standards and reliable. In case securities are traded through other securities companies under clause 24/1, the securities company shall have its employee bound to comply with the rule prescribed under clause
SMART philosophy: specific, measurable, attainable, relevant and time-bound)). Care should be taken in selecting the KPIs as technological advancements and the regulatory environment change over time.6
company shall have its employee bound to comply with the rule prescribed under clause 24/1. In case where the spouse and minor children of the employee has securities trading account at the other securities
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
) adding the competent personnel to support the future growth plan; 4) an establishment of a new subsidiary namely "Malee Applied Sciences Company Limited", whose objectives to encourage farmers’ incomes as
In cases where the SEC Office considers that it is necessary and expedient, with the applicant’s consent, the competent officer shall be empowered to enter into the place of business or address of such
the Shareholders’ meeting has approved such disposition of assets. The payment shall be made in full prior to apply for the transfer ownership with the competent authority. 6. Expected Benefits for the
after closing. 6. There is no order, injunction, judgment, decree, regulation or court order issued by any governmental authority, regulatory body or court of competent jurisdiction which is in force, and