Sort by: Relevance Date (Newest) Date (Oldest) Result of IPO Sale Reports - FIRM : FRASERS PROPERTY INDUSTRIAL REIT MANAGEMENT (THAILAND) COMPANY LIMITED Type of securities : Real Estate Investment Trust

is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities - Banking - Digital Assets https

the specified level compared to the total number of outstanding shares. Additionally, the brokerage firm should monitor customer trading behavior to prevent inappropriate trading activities; (4) To

for rectifying the qualifications to be affiliated with an audit firm that meets the requirement of four auditors at a minimum, from 180 days to one year.  The consultation paper is available at

operational systems for this purpose, the revised regulations will come into force as from 16 February 2024. ______________________________Remarks:  * Means (1) a securities firm licensed to undertake the

)  The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC

standards by focusing on the quality assurance of audit firm?s internal procedures.  As a result, the quality of supervision on auditor in the capital market has become well-accepted from the EU, World Bank

? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from

.   {B}, an investor contact and branch manager of Siam City Securities Co., Ltd., is suspended and prohibited from performing duties as securities firm executive for two months on account of trading

on the SEC website. No. Firm Name CPA Reg No. Period of Approval 1 A&A OFFICE COMPANY LIMITED NO.246 TIMES SQUARE BUILDING, 21ST FLOOR, ROOM NO. 21-01 SUKHUMVIT, ROAD 12-14, KHLONG TOEI, BANGKOK 10110