Bangkok, May 15, 2014 ? The SEC in cooperation with audit regulators in ASEAN countries host the ASEAN Audit Regulators Group (AARG) Meeting on May 15-16, 2014 in Bangkok. Auditors from the world?s renowned international audit firms are invited to share their views and experience concerning current regulatory and oversight issues, challenges and impediments as well as directions of international accounting and auditing standards. The event aims to promote audit regulator and audit firm cooperati...
such, impractical and outdated regulations will be revised to support underwriters? performance with trustworthiness and responsibility to investors, which will eventually build up their own credibility
regulations. Whereas the laws or regulations that are no longer necessary or outdated, or become obstacles to public livelihood or occupation will be repealed or revised to eliminate burden on people and
listed companies on the Stock Exchange of Thailand (SET).Ms. Jantima Phienveja holds a Bachelor of Laws (LLB) and a Master of Laws (LLM) from Thammasat University and a Barrister at Law of the Thai Bar
bar from serving as a director and executive of securities issuing companies and listed companies for a specific period.* Since {A} refused to extinguish the case by agreeing to comply with civil
Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the
derivatives contracts for five years from the Court’s judgement date, (3) to bar him from serving as a director and executive of securities issuing companies and securities companies for 10 years from the
, and to bar him from serving as a director and executive of securities issuing companies and listed companies for 10 years. In addition, SEC has reported the case to AMLO as this
allocation along with the service matching investment objective of each investor. Additionally, the SEC has recently raised the bar by requiring that the said advice and service must be provided by an approved
an equal amount to the benefit received or should have been received, reimbursement of the investigative expenses incurred by the SEC, and bar from serving as a director or executive in a securities