disclosure may not contain the information on the offer for sale of units or immaterial facts approved for amendment by the SEC Office; (b) the management company has completely filled in the information on
act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
Procedures for Dealing of Debt Securities (No. 3) dated 31 January 2000. Clause 3. In this notification: “securities” means securities which are debt Securities; “securities company” means a company licensed
Office of the Securities and Exchange Commission. Clause 3. An auditor of a securities company for each accounting period shall be an auditor approved by the Office in accordance with the notification of
securities has been filed, but not yet approved, the persons under (1) and (2) shall have the same duty and responsibility for disclosing information as the securities issuing company, and after the approval
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
signature in the opinion on the financial statement of a securities company, shall be a certified public accountant who is approved by the Office of the Securities and Exchange Commission to be eligible to
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
adequacy and completeness of the anti-corruption process by the audit committee or the SEC-approved auditor. In this regard, the Company may choose to disclose the above information by referring to the