August 2016, and an eight-month suspension on {B}, effective from 18 August 2016.Investment consultants are strongly advised to render services strictly within the scope of their responsibility with
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
diligence concerning:1. Information on counterparty that may have relationship with issuing company. As such counterparty was being under criminal proceedings by public authority, the result may impact the
securities. Upon findings of Wichai?s dishonest conducts, Jadesada had adjusted approach and scope of his audit performance into the transactions in 2008-2009 which was based solely on Wichai?s confession, the
appropriate for scope, quantity and complexity of their businesses. In addition, risk management structure and system must be equipped with mechanisms for check and balance, control, monitoring, and escalating
applicant and group of parent company. {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1
well as other social media, to invest in securities or futures. The solicitation was made with a promise to manage investment to achieve high rate of returns within a short period of time, providing that
considered such report.Previously, the SEC had notified AIE and AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the