SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in
statements due to auditor?s limitation scope of review by VTE management. As such, the auditor was unable to apply other review procedures to satisfy the carrying value of investment in foreign associate
in charge of Accounting and Finance of ICHI, knew the inside information related to ICHI's financial statement year 2016, which would show a decline in the net earnings resulting from net operating
Mr. Warot Norkeo 1. During 16 February 2015 – 29 July 2016, Mr. Warot, the assistant auditor holding the manager position, used inside information on the operating results from the fourth quarter of
Business (No. 3) B.E. 2555 9 (b) policy and effective measures for preventing conflict of interests, learning of inside information between units and personnel, internal control and risk management for
personnel’s performance]; (5) having efficient internal audit and control system; (6) having exhaustively comprehensive risk management of which preventive measures and arrangement shall be adequate and
efficient system of operational control for examining and counterbalancing [the personnel’s performance]; (5) having efficient internal audit and control system; (6) having exhaustively comprehensive risk
second largest major shareholder at the time, had known the inside information that a subsidiary of Central Retail Corporation Public Company Limited (CRC) was in the process of acquiring all securities
draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients