applicant has registered with about the qualifications of the applicant, review audit works of the applicant whether it is in compliance with the ISAs, inspect audit quality management system of the audit
applicant, review audit works of the applicant whether it is in compliance with the ISAs, inspect audit quality management system of the audit firm that the applicant is attached with whether such system is
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
excellent score in the Corruption Risk Management Systems Assessment 2023 and higher score in the Integrity and Transparency Assessment 2024 02/08/2024 Download All Document No. 158/2024 SEC Board approves
exercise their rights at the upcoming bondholders’ meeting 05/08/2024 | No 161 / 2024 Longroot (Thailand) was revoked of its approval as an ICO Portal 02/08/2024 | No 159 / 2024 SEC receives excellent score
obtained “Very Good” or “Excellent” overall corporate governance scoring under the IOD “Corporate Governance Report of Thai Listed Companies 2014” combined with the assessment results of at least 70 percent
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine
the performance of duties of the underwriter The underwriter must examine and co-sign the report of shares allocation to sponsors (form 81-1-IPO 200) to certify that “the company has a monitoring