securities companies? rules strictly and do not meddle with the client's assets and trading account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are
acceptable, if they work at an auditing firm approved by SEC. SEC Secretary-General Ruenvadee Suwanmongkol stated that “In June 2019, SEC for the first time considered allowing SMEs and startups to make
, corporate social responsibility and firm commitment against corruption; which will pave the way for them to become role models for others in the Thai business sector. Among 567 listed companies comprising 472
firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS
of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the
Analysis Summary of Audit Inspection Results A. Firm Level B. Engagement Level Essential Statistics 49 4412 46 0402 07 Contents Executive Summary The capital market is a fundamental component in driving Thai
REGULATORS 1. Maintenance of records 2. Scheduled or surprise audits involving site visits to firm headquarters 3. Follow-up investigations for complaints BUT DOES NOT ADJUDICATE 4. Issue sanctions
range 80-100%Score range 0-20% Score range 60-80%Score range 40-60%Score range 20-40% Fund 2Fund 1 Stock A ,B,C =70% Stock X ,Y,Z =30% Active share Similarity However, at the firm level, controlling for
equities ratio Firm size ln_TA Natural logarithm of total assets Growth Rate Growth (Revenuest-Revenuest-1)/Revenuest-1 Industry INDUSF Industry fixed effect Country COUNF Country fixed effect Year YF Year
firm to enhance the overall strength of audit firms in the capital market SEC public hearing on proposed principles for shelf filing ICOs in soft power industries to promote Thailand’s digital economy