Indicators 2015 assessment results of Thai listed companies of 477 SET-listed companies and 108 mai-listed companies, excluding 65 non-listed securities companies, asset management companies and derivatives
statements of STARK, for the years 2019-2021, constituted a serious failure to comply with auditing standards regarding risk assessment and audit planning, journal entry testing, analytical procedures
Companies (AIMC), and the Thai Investors Association (TIA). Moreover, the SEC has set the directions for enhancing supervision on information disclosure of listed companies and on performance of duties of
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
comply with the requirements accordingly. Sincerely -signature- (Mr. Vorapol Socatiyanurak) Secretary-General Intermediaries Supervision and Development Department Telephone: 0-2263-6255 Fax: 0-2263-6446
compliance supervision throughout the approval period of the auditor. Sincerely, (Signature