, managing director of Bania Co., Ltd.Following the routine inspection, the SEC found that T.U. Dome Fund managed by ING Funds failed to comply with the fund scheme and regulations under the Securities and
reflected the SEC?s effort in the past years in implementing more stringent inspection on audit quality assurance system of audit firms. The quality of audit activities of Thai listed companies thus conforms
SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make
damage to the client. With reference to the bank?s report on the client?s complaint and the SEC's further inspection, {A} was found to have signed on the unit redemption form of Bualuang Long-Term Equity
Thailand (SET), the SEC?s further inspection has revealed that on 3 November 2014, Pichet, then director, executive director and managing director of accounting and finance of MLINK, reported to the SET a
inspection that {A}, a capital market investment consultant of Phillip Securities, failed to record his clients? securities and derivatives trading orders. {B}, a capital market investment consultant, and {C
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
manner that is not subject to Chapter 3 Public Offering of Securities may file an application with the SEC Office requesting an inspection as to whether units of foreign ETF under such application are
electronic forms, did not https://www.sec.or.th/EN/Documents/Auditor/activitiesreport2015.pdf Activity report 2017En Activity report 2017En CAPITAL MARKET FOR ALL INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT