for approval of establishing such a limited company or public limited company for operating securities business in the category of mutual fund management to the SEC Office within the period of time, in
the firm’s audit manual and audit procedures, the lack of understanding in requirement of relevant standards, the lack of competent and skillful personnel, and the inappropriateness of internal
landscape of the capital market. In 2019, the SEC initiated to revisit the whole legislative structure regarding the supervision of auditing professions in Thailand for the first time to enhance the
, accepting of trading orders, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data
, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data recording device. Clause
quality audit is the competent personnel, sufficient time to perform audit, and the commitment to abide by the ethical and professional requirements. The financial statements, as a result, will be more
period of time and in form as specified in the SEC’s Notification as published in the Government Gazette. Application for approval under the first paragraph shall be filed together with supplementary
information, in materiality. In this regard, the SEC also filed a criminal complaint against {A} with Thai Royal Police for imparting false statement to the competent officer.Following the SEC investigation to
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as