any liabilities, its financial statements were not in compliance with the generally accepted accounting standards. The SEC thus instructed JAS to rectify those financial statements by recognizing the

Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with

: compliance@ais.co.th, rungkarn@ais.co.th mailto:compliance@ais.co.th

maintain compliance with the approval conditions at all times. In the event that its proposed rules would affect the business operations or the interest of members, investors or stakeholders, the

, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana

investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the

the issuer.  Nonetheless, the issuer must maintain its qualifications and compliance with approval conditions as well as disclosure requirements all through the program; unless otherwise, the approval

lifestyles. In addition, the government has launched NDID project that will be the country’s central infrastructure for service providers in both public and  private sector in compliance with ease of doing

compliance with the law. Thus, the offenders became subject to the penalties under Section 300 in conjunction with Section 33, and liable to the penalties under Section 268 of the SEA. The total fine amount

monitor investee companies responsibly for clients? best interest. Declaration of voluntary compliance with the I Code is expected for launch in 2017 and the disclosure of information based on the I Code