to complete. Moreover, the 2016 inspection results of the auditors’ engagement showed that most findings were in the substantive testing phase, with the audit of revenue, the audit of inventory and the
qualifications and work experiences, complete the orientation course on accounting and finance, and maintain professional accounting development on a regular basis. This is to ensure that CFOs and chief
Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip
ensure that investors would be informed of up-to-date, complete and sufficient information for investment decision-making in line with the globally recognized standards of the International Organization of
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
Ethics of Investment Analyst 6 Former investment analyst on technical factors. 6 − Examination not required but must complete a full course or a refresher course for renewal of approval.7 Examination not
not required but must complete a derivatives knowledge course. − 4 Passed new curriculum of Certified Financial Planner (CFP).5 − ✓ − − 5 Approved or registered to perform similar duties to investment
Minister to grant his approval on establishment of limited company or public limited company within ninety days from the date on which the SEC Office receives complete application and supplementary documents
Minister to grant his approval on establishment of limited company or public limited company within ninety days from the date on which the SEC Office receives complete application and supplementary documents