whole,? concluded Mr. Vorapol. The examination results can be found on the SEC?s website at www.sec.or.th under the topic ?Accountant/Auditor.?  

investment but the bank did not. Thus, the client lodged a complaint and asked the bank to compensate the whole investment amount. It was found that {A} signed the structured note subscription order, risk

criteria. These principles have already been in line with SET?s dedication¬ to promote CG practices among stakeholders to strengthen listed companies, the Thai capital market and the Thai economy as a whole

Company’s subsidiary in Malaysia for more efficient corporate strategy as a whole, as per the Notifications of the Stock Exchange of Thailand regarding Rules, Conditions and Procedures of information

) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 1/2554 Re: Verification and Announcement of Qualified Units of Foreign ETF and Application for Allotment of Foreign ETF Units

. Our suggestion for prevention of future occurrences is to jointly consider establishing accuracy verification mechanisms that can enhance confidence in the financial reporting, including a

of clients? assets: deficiency of the verification process created risk of  damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another

consequently affect confidence in securities business and the capital market at large;      (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was

whole or in part; The aforesaid risk factors include only those likely to affect the Company, the group of companies or the securities holders directly, not general risks on business undertaking or

verification of income and liability information of each customer. KBank has also focused efforts on credit approval process improvement, while ensuring risk levels under a defined risk appetite. Aside from the