ACL Securities Co., Ltd.were considered a contravention of the SEC Office Notification concerning financial advisor approval and scope of business which specifies that financial advisor supervisor must

Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws

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

and inventory register in most of the items while the company could not provide clear explanation about cause of such discrepancy. Chanunkorn, however, did not expand his audit scope, assess possible

นี้ไม่ชัดเจนว่าจะเป็นการตัดหรือจำกัดความรับผิดของผู้ประกอบธุรกิจตามข้อ 10 ของประกาศหรือไม่ ดังนั้น เพื่อให้เกิดความชัดเจน ผู้ประกอบธุรกิจจึงควรระบุ scope ของการจำกัดความรับผิดไว้เพื่อไม่ให้เป็นการขัดกับ

IP (scope down การปฏิบัติหน้าท่ี ให้วางแผนได้เฉพาะ plain product) IC ตลาดทุน ผู้แนะน าการลงทุนตราสารซับซ้อนประเภท 1 [Plain + Complex (Module 1 และ 2)] Module 1-2 IC plain IC หลักทรัพย์ ผู้แนะน าการ

available at www.sec.or.th and the SEC Check First application. Additionally, to verify the names of persons who are not regulated business operators under the SEC’s supervision, please visit the Investor

not regulated by the SEC, please go to Investor Alert via this link: https://market.sec.or.th/public/idisc/th/InvestorAlert.To report tips on suspicious activities, please contact the SEC Complaint

minor shall obtain a consent from the rightful representative before executing any legal acts and any acts executed by a minor without such consent shall be voidable unless regulated otherwise, etc