.{A} case was referred from the Stock Exchange of Thailand for the SEC's further investigation while cases of {B} and {C} were detected by the SEC's routine inspection. The SEC found from the probe that
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
a 3-month maturity term.So far, the testing results of the blockchain based bond offering system under the regulatory sandbox project have not detected any technological issues or obstacles that
remediation plan to prevent recurrence of similar incidents. In any case, the detected deficiencies will be considered in detail when the SEC reviews KPMG’s audit quality control system
securities investment exceeding the approved amount was also detected by the auditor causing the auditor unable to verify the correctness and completeness of the investment transaction. The SEC, therefore, has
Criminal Code. A referral from the Stock Exchange of Thailand stated that irregularities in the trading of FOCUS shares had been detected in relation to trading activities of a certain group of persons. The
to 227.9 mil. baht. - Total expenses increased 9% or 20.1 mil. baht to 244.4 mil. baht due to the following: 1) The Company had just detected a fraudulent practice of our credit supervisor and need to