approve an issuance of new shares under this Notification; (6) the offering of newly issued shares has a nature that may fall under the scope of avoiding other regulations enacted under the Securities and
baht for mutual fund or private fund management business whose business does not fall under (1)(c)1, 2 or 3; (3) ten million baht for mutual fund or private fund management business that provides service
fallen by THB 34.73 million, which has led 2nd quarter company’s net profit to fall to THB 0.69 million, a decrease of THB 16.05 million (96.2%). The main factors causing a sharp fall in underwriting
‘satisfactory’ in the ‘relevant ethical requirement’ and ‘human resource’ element. It should be noted that none of the audit firms fall into the ‘need improvement’ description in the ‘human resource’ element. 1
going to obtain approval as auditor in the capital market work part-time for the audit firm, such audit firm shall have not less than two certified public accountants; (b) in cases where the audit firm
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an offer for sale of securities or
departmental manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information
profession standards. Furthermore, the SEC representatives attended conferences to share ideas and experiences with the stakeholders and participated in domestic and international symposiums. obtain certain