บัญชีที่สำคัญ รวมถึงการตอบสนองต่อประเด็นปัญหาที่เกิดขึ้นใหม่ในช่วงที่ผ่านมา พร้อมด้วยการจัดงาน AARG Inspection Workshop ครั้งที่ 8 ต่อเนื่องสองวัน ในวันที่ 17-18 มิถุนายน 2564 โดยมีนางสาวรื่นวดี สุวรรณ

of naked short selling transactions without actual securities borrowing, which is currently a matter of public concerns. Currently, the SET’s inspection system operates on a risk-based approach and the

approval to offer debt securities for sale. This will allow the SEC to carry out a preliminary scrutiny of qualifications of issuers for investors. Disclosure – issuers are required to make complete and

required to set up an efficient complaint handling system in support of daily operation. Concurrently, the SEC employs a risk based approach to scheduled and/or random inspection as well as case-by-case

working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that

Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For

Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary

service increased from the same period of previous year of 2.41 Million Baht, accounting for 16.71% as the project of interval inspection for NGV lorry truck and increased number of Radiographic Examination

Activity_Report_62En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 Contents Executive Summary 02 42 45 19 30 04 08 14 Quality Assurance

Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection