by requiring the auditors to obtain prior approval from SEC. In addition, the auditors must be associated with the audit firms recognized by SEC. The auditors, however, shall not be director, manager
undue burden to the business. SEC, therefore, proposes to amend the regulations by requiring the business operators to submit the report in electronic form instead of paper in order to reduce burden on
sanction proceedings against Apichart, Eng and Supanee requiring each offender to pay civil monetary penalty, disgorge the benefits of loss avoided from committing the offenses, and reimburse the SEC’s
? responsibility for the client assets and must have provisions requiring that the companies take full responsibility for the client assets should they become lost or damaged due to the companies? negligence. The
preparation to comply with new regulations. In addition, the SEC will introduce measure for investor protection by requiring distribution of fact sheet to investors describing key features and risks associated
December 2020. In the following year, the SEC revised the disclosure rules by requiring listed companies to disclose information on their environmental, social and governance actions, including climate
compliance; (2) Revoking notifications that are no longer necessary or become overlapping, for example, repealing the rule requiring asset management companies to notify the fund’s annual report
investors to use its services, either via its website or Facebook Page: {X1}. On 5 April 2021, the SEC issued a warning letter requiring {X1} to submit a written response but {X1} failed to submit a response
application process, requiring the foreign issuer to file an application with the SEC directly without the need to obtain a prior approval from the Ministry of Finance; (2) To require the foreign issuer of
December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client