notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset trading, causing the coin prices displayed in the order book was inaccurately
comply with the rules, conditions and procedures as specified in the notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset as
, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1
The auditor expressed a qualified opinion on NRF’s interim financial statements for the third quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit evidence
appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the
Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material
medium-sized securities that lack sufficient trading liquidity. These regulations will enhance market stability, benefiting the entire capital market. The SEC and the SET will collaborate to monitor the
The auditor expressed a disclaimer of conclusion on CHARAN’s interim financial statements for the first quarter of 2025 because the auditor was unable to obtain sufficient audit evidence to review
the consistency and cybersecurity that is appropriate and sufficient to protect against possible risks from cyber threats. _____________________________
material transactions would have sufficient time to study relevant information, participate in the consideration process, and make an informed investment decision.The consultation paper is available at