special audit must be conducted by an auditor from any of the Big Four audit firms, and the report thereof must be submitted to the SEC and disclosed through the SET Electronic Information System within 30
a criminal complaint with the ECD Police against these firms and the related persons. In this connection, any person suffering damage from investment with the aforesaid persons should contact the ECD
? intention and brought about disputes between the clients and the investment consultants as well as the securities firms. Therefore, the SEC urges collaboration among investors not to make such authorization
-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains
after year, audit firms should continue to improve their auditing techniques along with policies and methods, and also take steps to develop a root cause analysis to have better understanding on factors
, particularly transaction payment rules that specify direct payments to securities firms only, and in case of check payments, they must be endorsed to the securities companies. Transferring money to personal bank
keeps compiling information of affected firms in the midst of this ongoing flooding situation for further consideration on further reliefs. In addition, the SEC has coordinated with the SET and related
foreign firms are looking to relocate production activities to and expand production in Thailand in response to trade conflicts, particularly in sectors such as electronics and automotive parts. It is also
Relationship between your firm and the network (e.g. full member, associated firms) Does the firm fully apply the policies procedures and audit methodologies of the network? Yes No 3. Registration with an audit