/ Frequent / Persistent 7 VE scale of assessment: Minor / Significant / High / Critical 8 VE scale of assessment: Non-communicative / Reactive / Remediative / Proactive 3 Verification – The KPI will be
should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information
-General The Office of the Securities and Exchange Commission (SEC Office) We, [Name of the juristic person or non-juristic group of persons in Thai and English], having an office at
) We, [Name of the juristic person or non-juristic group of persons in Thai and English], …………………………………………………………………………………………………………………………………….………………..……… having an office at
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a
continued to expand, it has still been affected by high levels of household debt as well as persistent low prices for agricultural products. The performance of the company in this quarter is still in line
funds; (3) “Property Fund Manager” means a person who makes decisions to invest or dispose of real estate or leasehold right of property funds; (4) “Fund Manager of Fund for Solving Financial Institution
funds; (3) “Property Fund Manager” means a person who makes decisions to invest or dispose of real estate or leasehold right of property funds; (4) “Fund Manager of Fund for Solving Financial Institution
cost of sales being the most frequently recurring themes. Many different factors may have led to such persistent deficiencies of some audit firms and auditors. This includes insufficient involvement of