A key strategy of SEC is to urge Thai people to realize the importance of financial planning which should be practical to achieve the long-term financial well-being. For this purpose, Thai people require financial advice and planning service from advisors who are knowledgeable, provide quality services and are considerate of interest of the customers. Hence, the “Wealth Advice for All” project was initiated. This project encourages both existing and new business operators to provide more...
be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy correctly; (2
shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy correctly; (2
transaction and an opinion on the appropriateness for every such transaction, and maintain the evidentiary documentation retrievable for inspection by the SEC Office. Division 2 Specific Rules for Execution of
evidentiary documentation retrievable for inspection by the SEC Office. Division 2 Specific Rules for Execution of Transactions for a Fund with a Management Company or a Connected Person _________________
inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication
stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication and service
The SEC had an observation on the reasonableness and appropriateness of the assumptions used in calculating the recoverable amount for considering the impairment loss of assets as related to
value of land, constructions and equipments for estimation of such assets? recoverable value. In addition, the auditor was not satisfied using other auditing methods on the value of the said assets. The