Stock Exchange of Thailand. An FA is obligated to ensure that the companies disclose thorough, accurate and sufficient information for investors in making decisions. An FA is required to provide opinions
business, not having records of contravening or failing to comply with the criteria for offering securities in substantive matters. 1.3 Having obtained a clear resolution on approval for the capital
board should ensure accurate, timely and complete disclosure of shareholder resolutions and preparation of the minutes of the shareholders’ meetings. Principle 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8
Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality of financial report to ensure that public disclosure of financial report is accurate, transparent
accurate disclosure of information relating to the debt securities which are in line with international standards to allow investors to have sufficient information to support their investment decision making
integrity of the company’s financial reporting system and that timely and accurate disclosure of all material information regarding the company is made consistent with applicable requirements. Principle 7.2
: Clause 1 Any securities company obtained some but not all of the securities business licenses in the category of securities brokerage, securities underwriting and securities dealing, may file an
Securities and Exchange Act B.E. 2535, the Finance Minister prescribes the Ministerial Regulation as follows: Clause 1 Any securities company obtained some but not all of the securities business licenses in
arrangement after having obtained special resolution of the unitholders. (3) If the mutual fund management company is unable to obtain specialresolution of the unitholders for an arrangement with a new