, officer or employee of that exchange or center;            (6)  extends scope of prohibitions against unfair practices to cover trading of securities in all trading platforms or venues. The consultant paper

outside the scope of supervision of the SEC is available at https://market.sec.or.th/public/idisc/th/InvestorAlert. For inquiries or reports of leads or suspicious acts, please contact SEC Complaint

financial statements for Q1/2016 and Q2/2016 because the auditing scope was limited by the company’s executives. Consequently, the auditor was unable to find sufficient evidence to justify the management’s

disclaimer and expressed a qualified opinion on the said financial statements because the scope of the audit was limited by the companies’ executives. Both AIE and AI must submit the corrected and audited

. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to

aforementioned MoU between both governments. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and

: • Investor focus • Global baseline • Sustainability scope, starting with climate • Building on existing frameworks (incl. TCFD) • The IFRS formed the International Sustainability Standards Board (ISSB) to

AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the companies’ managements arising from lack of efficiency

internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work

the scope of work. - Indications that the client might be involved in any criminal activities. - The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. - The