company located in China. The examination reveals that the deposit was not paid to any company in China, but was withdrawn or transferred from Winsound (Thailand)’s bank account to Mr. Amorn and others. The

essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that

recommended to deal with the said insufficiency;   (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard

and methods specified in the Licensing Manual for the Public and notify the issues derived from the examination of such facts for the applicant to clarify within the period specified by the SEC Office

the fair value of mining property rights fair value of the mining property rights over the two Indonesian mines. Moreover, no information was available with regard to the examination of the legal

assumptions used in calculating the fair value of the mining property rights over the two Indonesian mines. Moreover, no information was available with regard to the examination of the legal ownership of those

the ZipUp+ program, while the SEC was collecting and examining facts related to the business operation of Zipmex.   Following the collection and examination of the facts aforementioned, the Competent

}. However, after fact examination, it was found that there was a reasonable ground to believe that the actual payment for the purchase of the land and the office building was 40 million baht, and the

working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that

trading decisions for the client. From examination of communications records, there was no sources of the orders; just transaction confirmations made by such investment consultant and the conversations