supporting documents within 90 days from the date of filing the application with SEC, and (2) inspection of the actual work systems before granting permission to commence business operation whereby the
’ equity falls below zero. In case of any irregular trading activity, SET is the frontline inspector and, if it is considered a liable offense, will gather information for SEC to conduct in-depth inspection
Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment
Division comprises Intermediaries Supervision and Development Department, Intermediaries Inspection Department and Licensing Department. 2. Deputy Secretary-General Vasant Thienhom is in charge of the
securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium
of the SEC Office’s additional inspection within a period of time as specified in the notifying letter. Clause 4. For the purpose of appointing a director or executive, the company or the person to be
manner that is not subject to Chapter 3 Public Offering of Securities may file an application with the SEC Office requesting an inspection as to whether units of foreign ETF under such application are
สอบบัญชี (firm inspection report) การคัดเลือกผู้สอบบัญชีที่มีคุณภาพเป็นประโยชน์อย่างไรต่อกิจการ การที่รายงานทางการเงินจะมีคุณภาพและน่าเชื่อถือได้นั้น ผู้สอบบัญชีถือเป็น ผู้ที่มีบทบาทสำคัญในการตรวจสอบและ