derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “precious metal trading firm” means any person engaging in business relating to buying or selling
between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint property interests etc. 2 https://www.sec.or.th/TH/Documents/Auditor/QAQR-03
https://dividend.sec.or.th/stat-report/OFFER_DEBT_SHORT_EN.xlsx QAQR-04.xlsx /Guidance Notes Description 1 How is the firm dealing with the following (external issues): • challenge of real time systems
relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint property interests etc. 2 https://www.sec.or.th/TH/Documents/Auditor
delighted that we laid a firm foundation today for the stronger cooperation between the FSC and the SEC which celebrates its 20th anniversary of playing a vital role in the development of the Thai capital
trading transactions regularly. In case of doubtful authenthicity, investors should seek clarificatioin from the back office of such securities firm. It should be reminded also that money for trading
are underestimated and (3) familiarity bias: making decision based on familiarity such as investing in the firm for which the investor is working. As the regulator, the SEC has put more weight on
SEC urged the ASCO to establish a clearer standard of practice for underwriters, especially in the firm commitment underwriting practices, in which the underwriters exercise discretion in selling the