integrity of the prospective client was in doubt. Hence, engagements with significant risks, including the fraud risks, could mistakenly be identified as acceptable or tolerable. There were occasionally

สมควร (proof beyond reasonable doubt) ซึ งอาจไม่เหมาะกบัการกระทาํผิดในคดีหลกัทรัพยที์ไม่มีการทิ)งร่องรอยการกระทาํความผิดเหมือน คดีอาญาทัวไป หรือพยานหลกัฐานส่วนใหญ่อยูใ่นรูปของเอกสารหรือขอ้มูลทางอิเลก็ทรอ

basis for calculating fee, including method of payment of fee or other benefit for the investment advisory company; (9) procedure of filing complaint, name, address, telephone number of the person or

securities company shall retain such record until all the procedures are completed. In the case where the advise, trading instruction or negotiation is made by telephone or via electronic means, the securities

is made by telephone or via electronic means, the securities company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities

this market group has been increased during year 2020 to 2021. • Product sales channel through Telesales by selling products via telephone contact with new and small customers, accounts for less than one

retain such record until all the procedures are completed. In the case where the advise, trading instruction or negotiation is made by telephone or via electronic means, the securities company shall keep

years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any), the number and type of the total

obligations or conditions in the following years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any

333/3 Viphavadi Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel: +66 1207 or +66 2695 9999 Fax: +66 2695 9660 e-mail: info@sec.or.th BU I L D ING BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange Commission, Thailand Contact Information  This report is available for download on the SEC website: www.sec.or.th  For more information, p...