directors and executives who were his close associates.Mr. Perajed Suwannapasri’s actions constituted a failure to perform his duties with responsibility, prudence, and integrity, causing damage to GIFT or
According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...
to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that since January 1, 2022, Zipmex has not been providing policies, measures, and guidance for
aimed to support audit committees to perform their roles amidst the development and change of accounting principles and report practices of financial and non-financial information. In the seminar, audit
minimum number of businesses and the nature of the businesses for which the auditors perform audit work and affix signature on the auditor’s report from at least three businesses to at least two
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
://publish.sec.or.th/nrs/6564p.doc monitoring.doc Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures
shall have the duties as instructed by the AMLO, including: (1) set out a risk assessment policy or any guidance for the prevention of the financing of terrorism; (2) freeze the assets of the designated
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.