disclaimer and expressed a qualified opinion on the said financial statements because the scope of the audit was limited by the companies’ executives. Both AIE and AI must submit the corrected and audited
will monitor the progress of the ongoing legal proceedings and collaborate fully with relevant agencies in subsequent processes after the filing of the criminal complaint to support law enforcement
in becoming the wealth advisor.The wealth advisor may choose to carry out the wealth advice services according to its business model within the scope of the license obtained and must have the
characteristics under the SEC Office Notification concerning financial advisor approval and scope of performance B.E. 2552. The SEC, therefore, revoked the financial advisor supervisor approval granting to {A}.In
of the companies? annual financial statements 2015 after the auditors had issued a disclaimer and expressed a qualified opinion on the said financial statements because the scope of the audit was
, especially those products for which the investment consultants receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the
dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities
giving advice on trading derivatives contracts with underlyings of gold, precious metals, oil and foreign currencies, in a foreign market beyond the scope of permissible businesses granted to her employer
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor