asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
approval for the personnel working for them. In late last year, the SEC sought stakeholders’ opinions on the principles of the proposed amendment and most agreed with the proposal. Currently, the SEC is
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
the 1st audit quality inspection cycle (1 October 2010 - 31 December 2012), deficiencies were found in most audit firms, especially in the element of the engagement performance. This was partially due
/>ไม่มีความเคลื่อนไหว (inactive account) การมีนโยบายในการให้วงเงินซื้อขายหลักทรัพย์และการกู้ยืมเงินเพื่อซื้อหลักทรัพย์ที่สะท้อนถึงพฤติกรรมการซื้อขายหลักทรัพย์ของลูกค้า เป็นต้นนอกจากนี้
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
22 January, most of those commenting agreed on the proposed supervision on ICO of securities tokens. SEC will start from allowing ICO of investment tokens which are not the existing securities like