be able to offer for sale of shares to this type of investor without limitation on offering amount. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are
. Previously, the SEC notified VTE to rectify its 2013 and Q1/2014 financial statements due to the auditors? qualified opinions resulted from limitation on their scope of audit/review. Hence, the auditors were
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
. Disclose whether an issuer is directly or indirectly controlled by another entity or natural person, as well as the nature of such control. To the extent known to the issuer, indicate whether the issuer is
inspection cycle (2016 to 2018), audit firms in the capital market established and maintained a system of quality control as required by the Thai Standard on Quality Control (“TSQC 1”). The majority of audit
sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
regulations and an internal control report (if any); (7) a copy of letter approving the increase of its capital, issued by a Compliance Unit having a duty in compliance with the regulations (in the case where