Compliance, Inspections, and Examinations (OCIE) to share their experience with more than 200 capital market personnel from the SEC, the Stock Exchange of Thailand and securities companies on programmatic and
financial statements considering the company?s 2010 financial statements not in compliance with the generally accepted accounting principles. The company did not arrange the assessment of value and quantity
สำคัญ หรือมีข้อพิพาททางกฎหมาย (3) การพิจารณาคุณสมบัติของผู้ทำหน้าที่หัวหน้างานตรวจสอบภายใน ข้อมูลเลขานุการบริษัท และข้อมูลของหัวหน้างานกำกับดูแลการปฏิบัติงานของบริษัท (compliance officer) ทั้งนี้ บริษัท
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
banned Ravi from holding the position of director or executive at any issuing or listed companies for one year.* ________________________________ *In compliance with the Notification of the Securities
advice on suitable products in compliance with standard of conducts;(3) Giving knowledge through activities and channels by preparing plan for financial literacy and investor potential for 2011-2013 which
transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended
, while reviewing the existing regulations to be in line with the current situations and remain as necessary for more convenience, less business-sector costs, lower burden on people and compliance with the
, investors should contact the compliance unit without delay._______________________ Notes: * Pursuant to Clause 23(2) and Clause 23(1) and the prohibited characteristics of personnel in the capital market
and continuous audit work for listed companies in compliance with stricter professional standards. The SEC is therefore reviewing related regulations* and proposing the requirement of a minimum of