and Singapore, and the revised Memorandum of Understanding on the Streamlined Review Framework for ASEAN Common Prospectus to cover issuances of plain debt securities under a debt issuance
. Assigning competent audit staff to each engagement as required by auditing standards and determining performance evaluation criteria to reflect performance quality could help improve the deficiencies; (3
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
calculation will reflect position risk of assets and cover related business transactions, in line with international standards and the changing market conditions to serve the ongoing business operation and to
foreign currencies are expanded to cover more investment products; units of foreign collective investment scheme, for instance.The consultation paper is available on www.sec.or.th. Stakeholders and
information, in materiality. In this regard, the SEC also filed a criminal complaint against {A} with Thai Royal Police for imparting false statement to the competent officer.Following the SEC investigation to
Limited Companies Act B.E.2535 (1992) to call an extraordinary general meeting in order to elect new directors. The SEC and other competent authorities have issued guidelines to set out the procedures
Bangkok, March 25, 2015 ? Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
proposal also cover trust related transactions.Meanwhile, minimum capital requirement, reporting requirement and guidelines for the asset management companies being unable to maintain adequate capital are