such other businesses in general in compliance with the current regulations; (2) If other businesses have a high investment value as specified by the rules, they would be classified into two
supporting documents via electronic system (OFAM) without the requirement for hardcopy submission to SEC; (5) Improving guidelines for supervising compliance of securities brokers and dealers of non
: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged https://publish.sec.or.th/nrs/8617pe.doc
://publish.sec.or.th/nrs/3890pe.doc แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business
SEC for such digital token offering. The investing public is strongly advised to be careful with the solicitation of this ICO because it may not be in compliance with the governing rules, for example
fund 4.1 A mutual fund management company shall prepare the financial statements of the mutual fund in compliance with the accounting standards prescribed by related regulations on accounting. The
party because it is required to communicate about non-compliance with laws and regulations (NOCLAR) committed by a client to the appropriate regulator; - The firm may consider the network firm as a
firms in the capital market, and regularly inspects and issues inspection https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9346 SEC reveals non-compliance of EIC tender offer price Bangkok, January
rise from the end of 2011. The positive SET Index and market capitalization reflected local and international investors’ confidence in the Thai capital market as well as the robustness and attractiveness
and its auditors to the non-compliance risk regarding the auditor rotation requirement • Concerns and th rea ts to independence due to familiarity may result in the negligence of compliance with