: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The SEC probed into the
require financial advice and planning service from advisors who are knowledgeable, provide quality services and are considerate of interest of the customers. Hence, the “Wealth Advice for All” project was
at a lower fee. This is a temporary measure to promote more entries of knowledgeable and skilled auditors into the capital market. Interested auditors are welcome to apply for approval as capital
regulations specified by the SEC and arrange for IT security audit and a penetration test by a knowledgeable and skilled auditor who is independent from the responsible IT Unit before commencing service
Activity report 2017En CAPITAL MARKET FOR ALL INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 Executive Summary Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Framework and Focuses in 2018 Root Cause 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...
Settlement Committee. Mr. Somchai paid the fine as determined by the Settlement Committee order no. 8/2016, March 16, 2016. This case is regarded as settled. SEC Act S.243(1) in conjunction with 244 and
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
. Sittilarp to conceal the identity of the account user. 08/07/2022 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil
Exchange Act B.E. 2535 (1992). The inquiry official forwarded the requested for the settlement. The Settlement Committee determined the fine, order no. 93/2017 dated on 15 November2017 and Marnfah Group
Section 33 of the Securities and Exchange Act B.E. 2535 (1992). The inquiry official forwarded the requested for the settlement. The Settlement Committee determined the fine, order no. 94/2017 dated on 15