applicant; (3) Certification of the leader of the auditor firm; (4) Profile and details of the audit firm; (5) Cover letter for delivery of the evidentiary documentation related to the audit firm; (6) Copy of
drafting the relevant notification that would cover the scope of products for which the business operators can provide services, being listed products on the Thai capital market and foreign capital
is intended to propose the draft notification that will cover the clear segregation of work for the delegation of other persons to operate. The draft notification also allows business operators to
include: - disclosure of additional information to cover individual remunerations for executives of the highest rank, e.g., chief executive officer and managing director; - extending the periods for
limited only to major investors or high net worth investors.The guidelines proposed by SEC for supervision and encouragement of such business cover 4 key points as follows:1. The process for wealth
The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However
return rate and the investment term were written on the cover of the client's fund book. The SEC has therefore suspended approval for {B} as a securities investment consultant for a period of two years
principle the proposed guidelines which cover four major areas, as follows: (1) To support current PVD employers in signing up employees for PVD membership automatically unless opting out; (2) To promote
system which can prevent any misconduct that may cause damage to clients or securities holders and such system shall at least cover the following matters: (a) separation of operational units and