the auditor is unable to obtain sufficient appropriate audit evidence, auditor should report audit committee to proceed with the matter. In case audit committee is aware of the matter but does not take
the auditor is unable to obtain sufficient appropriate audit evidence, auditor should report audit committee to proceed with the matter. In case audit committee is aware of the matter but does not take
relation to digital asset trading, or using a digital asset trading account, bank account, account opened with a digital asset business or any other account of any other person. Civil penalty can be
charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a
.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for Transactions in Capital Market Act. It may be imposed on derivatives business operators, futures exchange
approval. However, if a mutual fund management company files an application for automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following
approval. However, if a mutual fund management company files an application for automatic approval not in compliance with the specified conditions, the SEC may proceed with one or more of the following
B.E 2509 regarding the operation, control, dissolution and the penalty provisions are applied, mutatis mutandis, to regulate the related associations. Trade Associations Act B.E 2509 Securities and
Minister’s approval under Clause 6, the approved person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of private fund
, approved person shall proceed with establishment of limited company or public limited company to undertake securities business in the category of inter - dealer brokerage. Newly established limited company