) The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC
by not using knowledge and expertise as professional.In case of {B}, the SEC received a complaint from client of a brokerage firm that {B} had sent trading orders through client's account without
.pdf ethical.doc Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint
Securities and Exchange Commission No. KorKhor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives _____________ By virtue
Re: Rules for Approval of Foreign Company to Offer for Sale of Newly Issued Debt Securities in Thai Baht
Application for and Approval of Offer for Sale of Newly Issued Share Warrants and Newly Issued Underlying Shares (No. 3)
Application for and Approval of Offer for Sale of Newly Issued Share Warrants and Newly Issued underlying Shares (No. 2)
Application for and Approval of Offer for Sale of Newly Issued Share Warrants and Newly Issued Underlying Shares