The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements

all stakeholders and TSFC is required to submit monthly progress report to the SEC.?  

servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter

the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information

(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to put in place a sufficient and effective systems of operation, control and risk management of derivatives broker which violated section 113 of

. Such rules will place importance on risk management and internal control system, compliance system, prevention of conflict of interest, and qualified staff. In terms of investor engagement, know your

Bangkok, December 16, 2011 ? The SEC declines to extend deadline for Tongkah Harbour Plc. (THL)?s special audit report submission, which is required to submit to the SEC within December 9, 2011.The

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the

https://publish.sec.or.th/nrs/7039pe.doc documentation.doc firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and