permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
the preparers? duties and responsibilities will be communicated through training courses and seminars along with the collaboration between the SEC and the Federation of Accounting Professions under His
Secretary-General said that ?The SEC foresees the importance of collaboration among independent audit regulators around the globe in order to share their common inspection findings, especially in the group of
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
Miss Krishavan Chuecharoenchai Miss Krishavan was the person who signed to certify the accuracy of the effective filing and executed the power of attorney for the submission of supporting documents
Unyakowit), who was then an IEC executive. Any person named in a criminal complaint filed by the SEC Office and under legal proceedings due to dishonest management of assets is deemed lacking trustworthy
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit to the SEC