opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy

Misstatements that are material, but not pervasive, resulting from: ฆ 2.1.1 selection of an inappropriate accounting policy (paragraph ........); ฆ 2.1.2 incorrect use of accounting policy (paragraph........); ฆ

suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc. and also revealing {C}'s inappropriate behavior.  The SEC found from its routine inspection that {A

that meet additional criteria. The draft revision aims to streamline the PO application procedures for the offeror who has no records of inappropriate corporate governance practices and whose shares are

also arise from improper auctioning of collaterals. Additionally, providing loans for securities trading in a manner that may constitute lending to a single group of individuals without restrictions on

:      (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures

inspection also indicated deficiencies of AEC?s core work systems in three areas as summarized below:      (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their

Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc.  Following the report from

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

inappropriate acts.Vorapol Socatiyanurak, SEC Secretary-General revealed after the first quarter meeting of 2013 between the SEC and the ASCO that the meeting has agreed to be responsive to the bullish market