characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
; Failure to audit advance accounts; and Failure to audit payroll, consulting fees, and social security contributions. As a result, Ms. Sulalit failed to detect material misstatements in the
auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has
regulation. Key highlights included: (1) Utilizing AI to detect suspicious trading behaviors and potential misconduct, aimed at promoting transparency and strengthening investor protection, and (2) Building an
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
in Cambodia with details as follows: 1. Date of Transaction : Within Quarter 3/2018 2. Characteristic of the Transaction Parties : 1. M Pictures Entertainment Public Company Limited. 2. MVP
was sufficient and appropriate with regard to the audit of the revenue and the accrued income which were material to the financial statements, causing her to fail to detect the fictitious revenue and
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of