the fund management company reserved the rights (only for accepting purchasing orders) as provided for in the scheme. (4) For the mutual fund that invest in foreign countries : (4.1) The stock
additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing orders of the investment units. 19.3 The case of
pays the application fee and submits the payment evidence to the SEC Office. The SEC Office thus issues a letter accepting Form 61-1F into the process of granting approval. 1 day Accounting Supervision
, starting from December 22, 2015. On other cases, {B} was found accepting orders to trade securities in a client's account from a person who was not the owner of the account without any written authorization
consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account
offering to facilitate merchants and businesses in accepting digital assets as payment for goods and services such as by setting up digital asset settlement systems. This may result in a wider adoption of
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
deficiencies in those elements. - Conduct proper resource planning prior to accepting the engagement to ensure that the human resource to deliver quality audit would suffice. - The firm’s leaders constantly
the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital
accepting sale orders or clearing the outstanding positions of capital market products in the clients’ accounts only, unless the intermediary is prohibited from accepting the sale orders or clearing the