company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with
สำคัญ หรือมีข้อพิพาททางกฎหมาย (3) การพิจารณาคุณสมบัติของผู้ทำหน้าที่หัวหน้างานตรวจสอบภายใน ข้อมูลเลขานุการบริษัท และข้อมูลของหัวหน้างานกำกับดูแลการปฏิบัติงานของบริษัท (compliance officer) ทั้งนี้ บริษัท
Bangkok, January 26, 2016 ? The SEC has revised several regulations concerning investment policies of mutual funds and provident funds (PVD) to enhance flexibility and compliance with international
Compliance, Inspections, and Examinations (OCIE) to share their experience with more than 200 capital market personnel from the SEC, the Stock Exchange of Thailand and securities companies on programmatic and
financial statements considering the company?s 2010 financial statements not in compliance with the generally accepted accounting principles. The company did not arrange the assessment of value and quantity
years ago which was non-compliance with the conditions on LTF tax benefits. The client was subject to retroactive tax payment plus surcharges.Failure to provide complete information or advice by not
?s purchase. The letter of guarantee on the Fund?s revenue prepared by him contains the conditions, not in compliance with the Fund scheme. Nukul also received some benefits from the property seller to
-compliance with standards of conduct of investor contacts in violation of Clause 14(7) of the SEC Office Notification No.SorKhor. 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14
. They must render services and perform duties honestly in compliance with professional standards and codes of conduct. On the other end, investors themselves must strictly abide by trading regulations