increasing the efficiency of legal enforcement and investor protection and establishing a proactive policy to increase competent auditors in support of potential increase in the number of listed companies
distribution channels is increase that for cover more the customers. Please be informed. Yours Sincerely, Panya Bunyapiwat Chairman
Bangkok, March 25, 2015 ? Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
proposal also cover trust related transactions.Meanwhile, minimum capital requirement, reporting requirement and guidelines for the asset management companies being unable to maintain adequate capital are
companies licensed to undertake the said businesses. In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing
approval for audit firms and auditors in the capital market and the determination of penalties which cover a wide range of enforcement measures and are commensurate with the degree of wrongdoing. In 2020
June 2020. This opinion is strictly limited to the integration of three environmental factors in the SLBs. This opinion does not cover the integration of broader sustainability factors (i.e. social and
the audit of information technology general control (ITGC), as many medium-and small-sized audit firms had been identified by the results of inspection to lack sufficient competent personnel in
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties