shall apply to the approval of auditors of businesses in the capital market. In this regard, the auditors approved by the SEC Office under this Notification shall be allowed to perform audit work and
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
million in the previous year to THB 14.75 million this year, or increasing THB 6.73 million. The consolidated financial statements show a net profit for the six-month period in Q2/2017 of THB 98.53 million
Bangkok, October 16, 2015 ? The SEC will pay a closer attention to investors? behaviors and factors influencing their decision making as more studies show rationality is not the only criterion for
, embezzlement and permission to prepare inaccurate accounts, which caused the GL financial statements to show an excessive amount of US54 million dollars in the loan transactions and thus the exaggerated interest
asymmetry of permanent and temporary price impact between buy trades and sell trades is determined primarily by market conditions. Specifically, contrary to the findings in previous studies, the results show
statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312 and 315 of the Securities and
as metal scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall
performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended
Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the