are underestimated and (3) familiarity bias: making decision based on familiarity such as investing in the firm for which the investor is working. As the regulator, the SEC has put more weight on
% respectively, while international business grew at 7.3% at constant FX. Q4’19 Revenue from sales were at THB 6,621 million (+4.6% YoY). - Fit Fast Firm project (OSP’s cost saving program) successfully delivered
.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any securities or derivatives business firm and their registrations with the SEC as securities business personnel have been revoked.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
unlicensed DA business operators; otherwise, they will not be legally protected and will be at risk of being scammed, as well as facing money laundering risks. The list of licensed business operators is
operators, as they may not be protected by the governing laws and may fall victim to frauds and scams. The list of SEC licensed and approved business operators and personnel can be checked at www.sec.or.th
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
Businesses as well as foreign digital asset business operators because such engagements with unlicensed business operators are not legally protected and may be exposed to the risk of scams,” added Secretary
? demands. This is to ensure that debt securities will continue to be a key product of choice for fund mobilization, while investors are better protected. Assistant Secretary?General Charuphan Intararoong