level of punishments as those of the SET, with effect from February 16, 2010. In the case of Ditipan, the SEC, in response to an investor complaint, ordered the employer securities firm to probe into the
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
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
% respectively, while international business grew at 7.3% at constant FX. Q4’19 Revenue from sales were at THB 6,621 million (+4.6% YoY). - Fit Fast Firm project (OSP’s cost saving program) successfully delivered
.pdf ethical.doc Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint
brokerage firm stating that {C} sent trading orders through client's account without evidence of trading orders from client. The SEC investigated on the case and found that there were trading orders in
ให้สำนักงาน ก.ล.ต. สารบัญ หน้า 1. ข้อมูลเกี่ยวกับสำนักงานสอบบัญชี 1 2. กิจการที่อยู่ในเครือเดียวกันกับสำนักงานสอบบัญชี (network firm) 3 3. การจัดการภายในสำนักงานสอบบัญชี 3 4. ผลการตรวจสอบระบบการควบคุม
firm” means a securities company having obtained securities brokerage license [under the Securities and Exchange Act B.E. 2535 (1992)]. 3 Chapter 2 Offering for Sale Regarding Units of Foreign Collective