Name of auditor affiliated with audit firm Financial statements audit Financial statements / information review 1. Unmodified opinion 2. Qualified opinion due to (can choose more than one): ฆ 2.1
quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor
firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS
of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the
Analysis Summary of Audit Inspection Results A. Firm Level B. Engagement Level Essential Statistics 49 4412 46 0402 07 Contents Executive Summary The capital market is a fundamental component in driving Thai
take legal action against wrongdoers. This includes imposing penalties on any securities firm that gets involved or colludes with the commission of such offense. Furthermore, the SEC has issued
acceptable, if they work at an auditing firm approved by SEC. SEC Secretary-General Ruenvadee Suwanmongkol stated that “In June 2019, SEC for the first time considered allowing SMEs and startups to make
: Proactive: forward-thinking and acting in advance in anticipation of possible challenges while being a firm and fair regulator as well as a friendly and visionary partner to all sectors, and initiating
, corporate social responsibility and firm commitment against corruption; which will pave the way for them to become role models for others in the Thai business sector. Among 567 listed companies comprising 472
referral from the Stock Exchange of Thailand concerning derivatives trading of a client of Kasikorn Securities PLC. The securities firm probed into the case and found that {C} was the one taking care of the