the court .……….., case pending adjudication No. .……/25.. and adjudicated case No..……/25.. between.……………. and………………………………… for an offence of ……………………………………..…….. Punishment inflicted
the nature or timing of the auditor’s work (paragraph........); ( 2.2.3 limitations imposed by management (paragraph........). ( 2.3 Corresponding figures contains or may contain material misstatement
Circumstances relating to the nature or timing of the auditor’s work (paragraph number........) ( 2.2.3 Limitations imposed by management (paragraph number........) ( 2.3 If the auditor’s report on the prior
derivatives exchange and such regulations is the same matter under this Chapter, and the Stock Exchange or the derivatives exchange has already imposed a penalty on such persons in accordance with their
risk, corruption risk, severe epidemic risk, etc.; 2.2.2 Investment risk imposed on the securities holders. Identify and clarify the risks of losing returns or rights or investment money, in whole or in
management views as material risks on the business, operation, financial condition, operating results or going concern or the group of companies; - Investment risk imposed on the securities holders. Identify
unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or
the intermediary ; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution clients which open an account or make transactions with the intermediary
Section 50 of the Constitution of the Kingdom of Thailand specified the restrictions shall be imposed by virtue of the law, the Office of the Securities and Exchange Commission hereby issues the following
particulars: (1) Incorrect unit price; (2) Correct unit price; (3) Causes of incorrect unit price; and (4) Preventive measures against incorrect unit price, except where the incorrect unit price is caused by