company?s business which was deemed as material information for investors? decision-making. He also failed to review the information on compensation paid to two directors of issuing company, resulting in
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading
Bangkok, August 8, 2013 ? The SEC ordered Millcon Steel Plc. (MILL) to arrange a special audit by either the auditor who audited the company?s 2012 financial statements or any other auditors on the
Bangkok, July 23, 2013 ? The European Commission ("EC") announced its decision to recognize Thailand auditor oversight under SEC?s supervision as equivalent to those of the European Union ("EU
Exchange of Thailand. The papers pointed out the significance of making prudent study on information and fundamental analysis of securities prior to making investment decision in order to mitigate trading
an account with, they should seek verification from the firm before making any transactions.? Before making decision to use any wealth management services, investors can check the list of licensees and
companies? managements arising from lack of efficiency and reliability of AIE internal control system. This subsequently caused AI auditor?s inability to express opinion on 2014 consolidated financial