without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
Bangkok, March 30, 2016 ? The SEC is seeking public comments on proposed amendments to the rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration
of Shareholders No.1/2021 to electornic meeting (Adjust Template) 05/01/2021 18:27 Notification of the change of Meeting venue and change a method of convening the Extraordinary General of Shareholders
Rules on Establishment of Information Technology Systems, with the following key points: (1) To adjust the frequency of submitting IT audit reports to be appropriate for the risk level of small
stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows: (1) To adjust the frequency of submitting IT
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
derivatives trading orders on behalf of a client. She admitted making trading decisions and sometimes submitting internet trading orders on behalf of the client. Moreover, {B} and Kantanapat, the securities