characteristics under the SEC Office Notification concerning financial advisor approval and scope of performance B.E. 2552. The SEC, therefore, revoked the financial advisor supervisor approval granting to {A}.In
example, some respondents proposed that a red list of activities be created, and the scope of Thailand Taxonomy be expanded to cover other economic activities (i.e., manufacturing and agriculture) in the
of this facilitator rules, the SEC is also proposing that the Capital Market Product Trading Services with Limited Discretion According to Clients? Pre-determined Investment Scope rules be repealed and
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
, 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
นี้ไม่ชัดเจนว่าจะเป็นการตัดหรือจำกัดความรับผิดของผู้ประกอบธุรกิจตามข้อ 10 ของประกาศหรือไม่ ดังนั้น เพื่อให้เกิดความชัดเจน ผู้ประกอบธุรกิจจึงควรระบุ scope ของการจำกัดความรับผิดไว้เพื่อไม่ให้เป็นการขัดกับ
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