Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I
securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and governance;(6) Disclose scope
.{A} case was referred from the Stock Exchange of Thailand for the SEC's further investigation while cases of {B} and {C} were detected by the SEC's routine inspection. The SEC found from the probe that
Department 5. Ms. Oratai Nimtavorn acting Director, Investment Management Supervision and Inspection Department 6. Mrs. Namtip Synsukpermpoon acting Director, Securities Regulation Department 27. Mr. Chatchai
trading orders, effective from January 19, 2013.The SEC found from its routine inspection that {A} had failed to record her investment advice and a client's securities trading orders for 14 days as
Prior to the on-site inspection, the SEC communicated concerns with the venue owner and the event organizer, resulting in suspension of seven exhibitors’ activities. Today, during the inspection, 16
announced at the ASEAN Audit Regulators Group (AARG)'s 5th annual Audit Inspection Workshop held in Kuala Lumpur from 21 to 22 February 2017. The Workshop also saw AARG embark for the first time, on a long
audit firms in the capital market to disclose firm inspection reports on SEC website SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit
คุณภาพงานสอบบัญชีของบริษัทจดทะเบียน ในงานสัมมนาประจำปี ASEAN Audit Regulators Group (AARG)?s 5th Annual Audit Inspection Workshop ซึ่งจัดขึ้นในวันที่ 21-22 กุมภาพันธ์ 2560 ณ ประเทศมาเลเซียการกำหนดเป้าหมาย