; “State agency” means central administration, regional administration, local administration, financial institutions development fund, Bureau of Crown Property and other agency as specified by the Office
all but two states from SEC to state jurisdiction • Key contribution: The extant literature documents dynamics of bad behavior, but there has been no focus on external governance. • Regulatory
any false statements or omits to state any material information which should have been disclosed, the securities holders shall be entitled to claim damages from the securities offeror or the securities
the revision and customization of the IFRS to meet its proper state. As a member of the IOSCO, the SEC sent a nominee to be a member of IOSCO Committee 1 (IOSCO C1) in charge of the pursuance and
: • Director, State Audit Office of the Kingdom of Thailand • Expert Member, the Securities and Exchange Commission Board • Member of the Court of Directors, Bank of Thailand • Chairman, Accountant and Auditors
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
securities company to obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an
estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to obtain prior approval in accordance with Clause 19. In cases where
) If no, how does the firm obtain assurance that the work done is appropriate? 3 If the Service Delivery Center performs audit procedure for the firm, how does the firm direct and supervise individuals