suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
: Approval of Auditors in the Capital Market, dated 23 September 2010. The clause stipulates: “lack of professional ethics or violation of or non-compliance with the regulations under the Law on Accounting
Mr. Kriengkrai lertsirisamphan Mr. Kriengkrai lertsirisamphan, the chairman of the executive committee (acting) and the managing director (acting) responsible for the operation of Professional Waste
Company Limited Attention: President The Stock Exchange of Thailand The Meeting of the Board of Directors of KGI Securities (Thailand) Public Company Limited (“the Company”) No. 5/2018 held on 23rd August
/pdf/IOSCOPD134.pdf 3 (a) the approval and registration of statutory auditors and audit firms; (b) the adoption of standards on professional ethics, internal quality control of audit firms and auditing
record and firm’s profile in the form as publicized in the SEC’s website. Signature of the applicant is required. (3) Certification of auditor’s professional qualification in the form as publicized in the
transactions she executed herself without the client’s permission. In addition, in May and November 2017 and August 2018, {A} asked the client to affix signature on the confirmation of backdated trading
Land Owner: Estate Perfect Company Limited Land Details: Land on title deeds no. 435 and 2847, with the total area of 16-2-29 rai Asset Location: Onnut-Ladkrabang Road, Ladkrabang Sub- District
) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant □ A commercial bank under the