obtain Investment Advisor or Derivatives Advisor licenses. However, those eligible to provide advice to retail investors must be screened by local securities firms as being competent and reliable foreign

identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect

2015 and 2016 were restated because fictitious revenue had been recorded.  The SEC reviewed Patamavan’s engagement performance as NMG’s auditor and found that she failed to obtain reliable evidence that

business, which also reduces redundant identification processes.  As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be

information. Nattha Rungwong used rumors or news pieces that had yet to be confirmed by reliable, related parties as a basis for his advisory comments such as rumors of big lot purchases of certain

the agreement with PTTPL to be EPC for solar rooftop and BESS project On 13th July 2018, Combine Heat and Power Producing Company Limited (CHPP), in which GPSC has hold 100% stake, has signed the

followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply https://publish.sec.or.th/nrs/8264p.doc 6564p.doc

accurate and reliable. Last December, the SEC had filed complaints against former SECC Chairman Sompong Witthayaraksan and other four accomplices on account of defrauding and embezzling the company?s assets

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the