to prepare an audit plan that appropriately reflected the relevant risks. The audit procedures were also inadequate. In addition, the reporting of audit results was ineffective. DAB Act S.30

procedures were also inadequate. In addition, the reporting of audit results was ineffective. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting No. 6/2026 Settlement Committee Order No. 12

increase via private placement (PP) to become ineffective until the SEC shall order otherwise.  This follows POLAR?s announcement concerning (1) additional agenda of Extraordinary General Meeting (EGM) No.1

violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with

money to the company as originally intended by the client. Instead, he used the money for his own benefit. As a result, the client’s life insurance policy became ineffective and the client suffered

into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

the termination of membership. Deficiency of the termination of membership for any reasons or PVD members’ failure to receive cheques have brought about soaring unclaimed money, which the AMCs are

management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining investment units and make

amount to be reduced, the management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining