at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and
Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
unitholders in the case of a mutual fund of which investment units are classified: 1) Requesting a resolution on a matter that affects unitholders in all classes: (A) A matter that equally affects unitholders
unitholders in the case of a mutual fund of which investment units are classified: 1) Requesting a resolution on a matter that affects unitholders in all classes: (A) A matter that equally affects unitholders
of Thailand. Clause 2 Undertaking of inter-dealer brokerage shall be classified as securities business within the definition of securities business under Section 4(7) of the Securities and Exchange
- Required (except for an offer for sale to II). Required. [1] For an offer for sale to HNW: only subordinated instruments classified as Tier 2 capital which have additional conditions that a write-down
- Required (except for an offer for sale to II). Required. [1] For an offer for sale to HNW: only subordinated instruments classified as Tier 2 capital which have additional conditions that a write-down
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
be granted approval by the SEC shall possess qualifications of an individual person and of the firm to which the auditor is attached as prescribed by the regulations summarized below: Individual