upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
for filling information Example Suggestion / Guideline Step 2 Create stakeholder •Stakeholder name •Type of stakeholder •Degree of importance •Description Step 3 Create impact model •Activities •Outputs
Activity report 2017En CAPITAL MARKET FOR ALL INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 Executive Summary Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Framework and Focuses in 2018 Root Cause Analysis Summary of Audit Inspection Results A. Firm Level B. Engagement Level Essential Statistics 49 4412 46 0402 07 Contents Executive Summary The capital market is a fundamental component in driving Thai...
12-month period: As ICO investors can run a risk of losing their entire investment, the SEC received a suggestion that an aggregate limit on the total amount each retail investor can invest in ICOs in
scheme shall be filed with the SEC via the SEC Office and the SEC shall give recommendation and propose such scheme to the Minister for approval. The scheme shall be prepared with the details and
component for many regulators • But not clear what the policy implication is. • One suggestion may be: Make state regulators simply pay the federal-level SEC for more effective monitoring
, 2017 for the price of not less than Baht 190 million. The resolution was also aimed to maximize Company and its shareholders’ benefits with the suggestion for Company to pay attention to adverse social