at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and
Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
be granted approval by the SEC shall possess qualifications of an individual person and of the firm to which the auditor is attached as prescribed by the regulations summarized below: Individual
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
individual limit; (2) A total limit of the mutual fund in proportion to the investment in or the holding of liquidity assets. 8.6 R edemption payment in the form of securities or other assets in lieu of cash
individual limit; (2) A total limit of the mutual fund in proportion to the investment in or the holding of liquidity assets. 8.6 R edemption payment in the form of securities or other assets in lieu of cash
independent directors / Audit Committee (AC) to act for the interests of individual investors? What is the corporate governance and internal control system? Disclosed information Board of directors and
Fast Track qualifications will be inspected by the SEC prior to approval. The inspection may include, but not limited to a) checking the basic individual qualifications of the applicant i.e. having