However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes

Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and

rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and

) SANCTIONS.—If the Board finds, based on all of the facts and circumstances, that a registered public accounting firm or associated person thereof has engaged in any act or practice, or omitted to act, in

; (3) make a clarification in order that investors will receive information that is complete, accurate and true, or not misleading; (4) act or not to act in a certain way within a specified period for

firm” means a company that has obtained a license to operate business concerning securities brokerage; “registration statement” means a registration statement for the offering of units of foreign

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amount of the reserve per annum until complete repayment, the reserve amount in the latest accounting year, and the total reserve amount up to the latest accounting year; (4) In case of a loan in the form

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

accounting and auditing standards. The event aims to promote audit regulator and audit firm cooperation, boost audit quality in the region while enhance reliability of financial reports of companies in ASEAN