securities. Upon findings of Wichai?s dishonest conducts, Jadesada had adjusted approach and scope of his audit performance into the transactions in 2008-2009 which was based solely on Wichai?s confession, the
appropriate for scope, quantity and complexity of their businesses. In addition, risk management structure and system must be equipped with mechanisms for check and balance, control, monitoring, and escalating
applicant and group of parent company. {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1
their licensed or registered scope of businesses by visiting the SEC website (www.sec.or.th). In addition, any persons who come across suspicious unlicensed activities can report the matter to the SEC
considered such report.Previously, the SEC had notified AIE and AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the
, trustworthiness, and competitive advantage. ?The SEC wishes to enhance the roles of audit committee by prescribing proper educational background and accounting experiences, extending scope of roles and duties to
to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product
) undertaking any other actions necessary for and relevant to the issuance and offering of the newly issued ordinary shares as appropriate under the scope authorized by the shareholders’ meeting; 9. Approved to