Department 5. Ms. Oratai Nimtavorn acting Director, Investment Management Supervision and Inspection Department 6. Mrs. Namtip Synsukpermpoon acting Director, Securities Regulation Department 27. Mr. Chatchai
trading orders, effective from January 19, 2013.The SEC found from its routine inspection that {A} had failed to record her investment advice and a client's securities trading orders for 14 days as
Prior to the on-site inspection, the SEC communicated concerns with the venue owner and the event organizer, resulting in suspension of seven exhibitors’ activities. Today, during the inspection, 16
announced at the ASEAN Audit Regulators Group (AARG)'s 5th annual Audit Inspection Workshop held in Kuala Lumpur from 21 to 22 February 2017. The Workshop also saw AARG embark for the first time, on a long
audit firms in the capital market to disclose firm inspection reports on SEC website SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit
คุณภาพงานสอบบัญชีของบริษัทจดทะเบียน ในงานสัมมนาประจำปี ASEAN Audit Regulators Group (AARG)?s 5th Annual Audit Inspection Workshop ซึ่งจัดขึ้นในวันที่ 21-22 กุมภาพันธ์ 2560 ณ ประเทศมาเลเซียการกำหนดเป้าหมาย
has already addressed and those currently under review such as inspection of naked short selling transactions and mechanisms for regulating short-selling and program trading, for example, collateral
organizer in advance, informing them of these concerns before the event date.On 7 September 2024, the date of the event, the SEC conducted an on-site inspection and found that some exhibitors were engaging in
to such circumstance to the Audit Committee of the securities company or the company in order to continue the inspection without delay. The Audit Committee shall report the result of the preliminary