in this manner had not happened before. The fact in this matter, although seems not so complicated, relates to many provisions of laws under the purview of both the SEC and the DBD. Accordingly, while

qualified audit personnel and inability to react to changes of professional standards and more complicated structural transactions, will also be addressed to support market readiness for current dynamic

supervision 2.6 Quality Assurance & Review  Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have

17, 201, while there is no differences of management control in APU. Nonetheless, the Independent Financial Advisory (IFA) confirmed its previous opinion that shareholders should not approve it. The

30 September – 6 October 2019 to encourage global regulators to promote financial literacy and investor protection, and to raise awareness of investors around the world. The SEC confirmed

derivatives trading orders to make up the record of receiving those orders.  In addition, Napat had been authorized by a client to make securities trading decisions and he confirmed the trading transactions to

have revealed that he confirmed with a customer that the RMF units the customer had bought in 2011 were redeemable without breaching the terms and conditions of the tax benefits. However, the actual

Professions (TFAC), the Association of Thai Listed Companies and audit firms in the capital market confirmed that the concept and principles of the auditor minimum could favourably contribute to higher quality

execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed

facts confirmed by Zipmex Thailand. Therefore, it is considered that Zipmex Thailand deceived by presenting false statements and concealing facts that should have been disclosed to its clients, which led