auditor appointed by an audit firm is unable to perform audit work for a listed company and the audit firm has an insufficient number of auditors in the capital market to handle the situation, the listed
Bangkok, 12 January 2024 – The Securities and Exchange Commission (SEC) is seeking public comments on proposed amendments to the regulations requiring audit firms to maintain a minimum number of
Bangkok, July 21, 2015 ? The SEC has driven forward the plan to develop financial reporting ecosystem to promote financial statement quality and increase the number of auditors to support the growth
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
offered at the market price during the offering period. The revised provisions cover the key areas, as follows: 1) Approval: to screen the applicant?s corporate governance records whether or not
system and personnel. The proposed revision is to introduce a compilation of rules, at present, stipulated in a number of regulations; for instance, rules and conditions concerning business undertaking and
found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the
auditors of SMEs have been proposed in response to the growing number of SMEs with potential to become listed on the Stock Exchange of Thailand. In this regard, most of the criteria remain in line with the
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
plays the role of promoting and developing the professional standards of financial advisors as they help to select and screen the quality of companies applying for listing in the stock market while also