such, impractical and outdated regulations will be revised to support underwriters?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 Whereas the laws or regulations that are no longer necessary or outdated, or become obstacles to public livelihood or occupation will be repealed or revised to eliminate burden on people and
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
. Outsourcing does not have a huge amount of service providers, resulting to a situation where outsourcee cannot be employed immediately, and this might lead to an effect regarding the capital market. Business
intention to conceal the fact and fabricating false evidence. She was employed by Phillip Securities (Thailand) Public Company Limited at the time of committing such offenses. Following a referral from
are still employed to continue contributing to the fund with or without the employer’s contribution; and 5. Supervision: e.g., specifying the standards for fund registration regulations and guidelines