{C}, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC's findings from the examination of the initial public offerings (IPO) of Takuni Group Public Company
lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A} traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus
I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name
/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities
provisions regarding investment in securities by securities business related associations; (4) Corporate finance Regulations and Audit firm and Capital Market Professional Supervision: revising regulations on
’ approval. Additionally, there are changes in directors and management, and revisions to its internal work systems, with an external consulting firm monitoring and reviewing financial transactions of PDITL
the relevant rules and then will propose to the SEC Board for consideration and approval. The SEC and the SET also discussed possible review of the guidelines for the securities firm, as issued by