principles of technology usage;(3)    Allow fund managers or securities analysts to participate in fintech development/application processes;(4)    Have a control and inspection system for algorithm

securities analysts to participatein fintech development/application processes;(4)      Have control and inspection system for algorithm;(5)      Have data management and governance;(6)      Disclose scope

suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc. and also revealing {C}'s inappropriate behavior.  The SEC found from its routine inspection that {A

company?s audit committee of the doubtful advance payment for advertising service by cashier cheque. Despite the audit committee?s inspection on the issue, a qualified opinion was given on BLISS?s third

(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients

and relevant to the client's investment decision. From the Stock Exchange of Thailand's securities trading inspection report on Electronics Industry Public Company Limited (EIC), the SEC further probed

Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of

ก.ล.ต. ตรวจสอบการดำเนินงานตามปกติ (routine inspection) พบว่า {ก} ไม่บันทึกการรับคำสั่งซื้อขายสัญญาซื้อขายล่วงหน้าของลูกค้าให้ครบถ้วนในปริมาณการซื้อขายที่สูง  และ {ข} จัดทำเอกสารหลักฐานการรับคำสั่งซื้อขาย

. (WHA) would rise or fall, and such information had not been disclosed to the Stock Exchange of Thailand (SET).Following a referral from the SET and the SEC?s further inspection, it was found that Somyos

auditors.? The Auditing Advisory Committee comprises both current audit practitioners and non-practitioners. Its major role is to render advice to the SEC regarding supervision and inspection of audit