reimbursement of investigative expenses Cases Persons Fail to exercise duty of care - - - - - - - Presenting a false statement or concealing material facts that should have been stated - - - - - - - Disclosure of
shareholders of the securities companies, as follows: (1) major factor which is the facts that the Office give more weight than other facts in considering, as follows: (Translation) -2- (a) the scope of effect
and auditor to testify, deliver, or present accounts, documents, seals or other evidence related to the trust business; (6) order any persons who have known any related actions or facts and may be
Notification stating otherwise. Clause 5 The prospectus shall comprise three sections as follows: (1) Fact sheet; (2) Fund facts; (3) Certification of accuracy and completeness. Clause 6 The particulars and
accountants. In considering the sufficiency and reliability of the audit quality control system under (1) of the first paragraph, the SEC Office shall present any facts and opinions obtained from the inspection
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give his opinion. Any auditor who fails to comply with the provisions
concealing material facts that should have been stated; (3) failing to perform duties as director or executive (4) allowing any person to use one’s own securities trading account or banking account for payment