.pdf ethical.doc Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint

brokerage firm stating that {C} sent trading orders through client's account without evidence of trading orders from client. The SEC investigated on the case and found that there were trading orders in

individuals are banned from engaging in or associating with any securities or derivatives business firm and their registrations with the SEC as securities business personnel have been revoked.  The findings in

license at the amount of Baht 567.40 million in the third quarter of 2017. The impairment of license was estimated the recoverable amount of value in use, determined by discounted future cash flows, the

have to purchase V Solar shares from VON at the price of 8,300,000.00 Baht within 90 days of the contract date. The price has been determined by the total value of the assets of V Solar. In entering into

Solar shares from VON at the price of 8,300,000.00 Baht within 90 days of the contract date. The price has been determined by the total value of the assets of V Solar. In entering into the above

quarter of 2017. The impairment of license was estimated the recoverable amount of value in use, determined by discounted future cash flows, the terminal growth rate and discounted rate used in the

estimated on the recoverable amount of value in use, determined by discounted future cash flows, the terminal growth rate and discounted rate used in the assumptions are based on their management’s judgment

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

, having obtained an approval from the SEC Office, determined by the securities company association. Clause 3 A business operator shall prepare and store any document or evidence relating to investment in