inspection findings and to promote the value of audits. At the 6th AARG meeting, there was a healthy dialogue on how regulators and audit firms can forge an even more productive relationship in light of key

on findings, during 2008-2010, Shine had traded such 12 securities through his own and other persons? accounts as follows:     (1) Shares of Sub Sri Thai Warehouse Plc. ("SST") (Presently Sub Sri Thai

certain areas, particularly disclosure.  The Morning Star Research announced the findings from its Global Fund Investor Experience Study 2013 evaluating the experiences of mutual fund investors in 24

cause the payments from TUCC bank account, claiming to use for the payments of the said BF and ASC cheques.  The SEC findings revealed that some parts of the money withdrawn from TUCC bank account were

Following a referral from the Stock Exchange of Thailand (SET) in March 2023 and the SEC’s further investigation, the findings and evidence indicated that during 5 August – 9 November 2022, these

.  The SEC findings also revealed that {D}, AEC co-chief executive officer in charge of back office, and {E}, AEC co-chief executive officer in charge of front office, had generally neglected supervision

result, the Settlement Committee imposed the fine of 1,101,000 baht on AEC.  The SEC findings also revealed that Thada, AEC co-chief executive officer in charge of back office, and Pisit, AEC co-chief

time; (e) conduct monitoring of the system and report the findings to the board of directors of the company or the directors entrusted by the board in order to achieve the objective and mission. Clause 6

and external sources in appropriate form and time; (e) conduct monitoring of the system and report the findings to the board of directors of the company or the directors entrusted by the board in order

related to business conduct with internal and external sources in appropriate form and time; (e) conduct monitoring of the system and report the findings to the board of directors of the company or the