oversee the auditors of PIEs, protect investors? interest and promote confidence in the quality and reliability of audited financial statements of PIEs. As at 31 May 2015, a total of 306 individual auditors
Following a report from KTB and the SEC’s further investigation, it was found that during the period from 2024 to 2025, Miss Wannapat misappropriated the assets of two clients in the total amount of
amount of money required to be segregated each day shall not be less than the total amount of the net balance calculated at the end of the prior working day or at the end of the present working day from
total amount of the net balance calculated at the end of the prior working day or at the end of the present working day from cash accounts and margin accounts of all clients after deducting money
required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action
company to take any action or omit any action as the SEC Office deems appropriate within a specified period: (1) the management of a mutual fund has the characteristic or form in accordance with the rules