collateral placement, selection of securities, data processing and data reporting to the management, agreement with investors and additional conditions in the case where business operators have the duty to
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
the actual handling of the matters shall be taken into consideration without the principal intention being to generate revenue. The fees shall become the property of the SEC Office. Chapter 2 https
https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/LawReform/summary-decree-digitalasset2561.pd... translate-spv.docx incurred in the actual handling of the matters shall be taken into consideration
presentation of auditor?s concerns with key risk factors and risk handling methods clearly identified.? The New Auditor?s Report Educational Project aims to provide knowledge and usage guide to the new auditor?s
ordered him to pay a minimum fine of 500,000 baht.The SEC appreciated the assistance of The Securities Commission Malaysia in compilation of facts and evidence, which contributed to the successful handling