evidence relating to derivatives trading under the following rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date
rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date on which the advice is given or order is placed, as the
. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent with the facts to deceive other persons. The 25 persons charged with the criminal complaints are as
, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records. The nine offenders are: (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director
) a juristic person over which such person has the management control as an agent of the juristic person; (18) “Stock Exchange” means the Stock Exchange of Thailand; (19)1 “listed company” means a
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
encompassing business control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
the website of the SEC Office: (a) certifying that such audit firm has a audit quality control system under Clause 11(1) and giving consent for an inspection by a representative of the SEC Office; (b