scope of operation of foreign representative branches of Thai business operators and apply the rules of the regulators of such foreign representative branches instead, (3) allow more flexibility on
. In addition, the draft regulation is expected to further clarify the scope of supervision of digital asset businesses because they are not under state oversight. The SEC conducted a public hearing on
category and within the scope of registration only, (3) having at least one person responsible for work coordination in Thailand, (4) having risk management policy for introducing financial products suitable
current situations by expanding the scope of protection and effectiveness as well as closing legal loopholes that could bring people damages or improper services. The regulations are proposed to be
securities. Upon findings of Wichai?s dishonest conducts, Jadesada had adjusted approach and scope of his audit performance into the transactions in 2008-2009 which was based solely on Wichai?s confession, the
to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product
appropriate for scope, quantity and complexity of their businesses. In addition, risk management structure and system must be equipped with mechanisms for check and balance, control, monitoring, and escalating
currently more than 9,000 funds, or check whether any juristic person or person is properly licensed or approved in the capital market. By 2018 SEC aims to expand the scope of data services to be more
expressed a qualified opinion in the auditor's report on the financial statements for Q1/2016 and Q2/2016 because the auditing scope was limited by the company's executives. Consequently, the auditor was
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws