Activity report 2015 En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2015 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2015 Contents Executive Summary ....................................................... Quality Assurance Review Panel ................................... Activities for Enhancing Audit Quality ............................ Summary of Audit Inspection Results A. Firm Level ............................................................ B. Engagement Level ..........................
securities business operators, derivatives business operators or digital asset business operators who have not obtained a respective license, as well as foreign digital asset business operators. This is
information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that
prevent mutual funds from being exploited for any other benefit than those which ought to be obtained from the investment. At present, the number of investment units held by any person or any associated
License. In any case, business operators who have already obtained PF License may request Derivatives Fund Manager License, free of charge. _____________________
manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office http://market.sec.or.th/public/idisc/en/Enforce Settlement
Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful