Related Rules and Regulations As the country is in focus on development of several infrastructure projects, an Infrastructure Fund (IFF) has been serving as a significant vehicle in driving the country's
-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to improve audit quality Executive summary Contents Quality Assurance Review Panel (“QARP”) Significant
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
”, the management would like to discuss and analyse the financial statements for the year 2019 ended December 31, 2019 including the significant situations and order taking in the year and business
the correctness of such information; however, the profile shall be updated at least once a year or upon significant change of information, and the updated version shall be sent to the customer to
follows: (1) the objective of the offer for sale of sukuk; (2) the structure, procedure and transaction (if any) through which the trust property shall use the money received from the offer for sale of
PowerPoint Presentation Procedure for Investigation and Enforcement Measures Sources of Information to stimulate enforcement actions The SEC Office’s preliminary consideration Has a sign of any
January 26, 2015, the Bangkok South Criminal Court found an defendant was death, the right to prosecute shall be extinguished pursuant to section 39(1) of Code of Criminal procedure. The Court disposed of
sufficient and effective system for Know Your Customer and Customer Due Diligence : KYC/CDD procedure between October 4, 2018 and April 11, 2022 which violated section 133 paragraph 2 of the Securities and
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By