act.?As the Executive Chairman of Apple Wealth Securities, {A} was involved in the company's misconduct and failed to perform supervisory duties. He approved the opening of trading accounts and the
the Royal Gazette, respectively. Meanwhile, the Association of Investment Management Companies (AIMC) would prepare a notification of investment unit redemption systems, to be approved by SEC. This is
, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for supporting amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to allow more effective and efficient supervision of audit firms and auditors in Thai capital market.SEC Secretary-General Ruenvadee Suwanmongkol said: “This is the first time SEC contracts an independ...
In the current context of business rehabilitation, there is a more diverse range of guidelines for restructuring debts or funds of Rehabilitation Listed Company. Therefore, to ensure that the regulations for offering for sale of newly issued securities align with the current restructuring frameworks and that the rehabilitaion process is flexible and expedited, with disclosure criteria and appropriate investor protection measures in place according to the investor types, the SEC is proposing to a...
acceptable, if they work at an auditing firm approved by SEC. SEC Secretary-General Ruenvadee Suwanmongkol stated that “In June 2019, SEC for the first time considered allowing SMEs and startups to make
securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed
securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed
Bangkok, March 3, 2014 ? The SEC Board approved the amendments to regulations on trustee of real estate investment trusts (REITs) to enhance flexibility and facilitate REIT development.Vorapol
include rule revisions to require SEC approved auditors work for audit firms having audit quality control system and inspections to ensure the quality assurance of audit firms? procedures both firm and