Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
This webinar is part of the continuing cooperation among the SEC, the UN and the PRI in supporting the Thai capital market’s role in driving progress towards the UN Sustainable Development Goals (SDGs). It also brought to the fore investment management business operators, institutional investors and other capital market participants for an in-depth discussion on the Principles for Responsible Investment, particularly on the practices of integrating ESG factors in the investment process. At...
Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory
audit supervisor, or a final reviewer for not less than 4 years. (3b) Engagement partner of commercial banks: - being an engagement partner of commercial banks under Financial Institutions Businesses Act
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
29.39 KPMG 3 3 1 (Leadership Responsibilities for Quality within the Firm) KPMG 3 KPMG KPMG KPMG KPMG 3 2 (Relevant Ethical Requirements) KPMG Public Interest Entities signing partner engagement partner
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
of Securities and Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2 . In this Notification: “Fund supervisor” means the mutual