Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The

also extend to conducting survey through "Nida Poll" on the issues of capital market, financial literacy and investment behavior as well as production and publication of academic researches and papers

committing fraud, misappropriating the company's assets and falsifying accounting records by executing concealed transactions through several associated companies abroad to exaggerate the company's operating

than actual value as deposit for shares purchase of another company. In addition, he permitted false records or no record of important information in the company’s accounts and documents, and also

called ?Financial Literacy: Road to Thailand?s Prosperity?.On the promotion and development of research papers on capital market issues, the SEC in collaboration with leading business schools of the

been founded in the Project called ?Financial Literacy: Road to Thailand?s Prosperity?, On the promotion and development of research papers on capital market issues, the SEC in collaboration with

sectors, and showcased the strategy of SEC that realizes the significance of academic studies and papers towards the effectiveness in policy-making. Multiple honorable guest speakers from

Bangkok, November 20, 2015 ? The 10th SEC Working Papers Forum today has revealed the results of three research studies on the common theme, ?Investment: Expectations and Reality,? conducted by the

| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of

& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities