oversight in Thailand, priority is given to supervision of individual auditors, but the competent agency is not given the power to directly supervise the audit firms._________________________
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determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
+OR+%22electronic+property%2... ICGN%20Institutional%20Investor%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of beneficiaries and clients. Asset
within the full period of 3 years preceding the year of application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under
application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under the law specified in the Notification within the full period 3
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
editor of this publication accept no responsibility for loss occasioned by any person acting or refraining from action as a result of any views expressed in these pages. No one should act upon such
made at more than 80% of the project. 3. Investment must not be in small units such as individual houses or condominium units. 4. Asset appraisal must be made by an asset appraiser determined by SEC. In