institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
exchange. “ SEC Office ” means the Office of the Securities and Exchange Commission under the law governing securities and exchange. “ competent officer ” means a person appointed by the Minister to execute
law governing securities and exchange. “SEC Office” means the Office of the Securities and Exchange Commission under the law governing securities and exchange. “competent officer” means a person
fund, the Government Pension Fund, provident fund or any other legal entities as specified in the notification of the SEC. 4 “competent official” means any person appointed by the Minister to perform
fund, the Government Pension Fund, provident fund or any other legal entities as specified in the notification of the SEC. 4 “competent official” means any person appointed by the Minister to perform
Human resources are significant factors to audit quality. Accordingly, retaining competent and capable human resources in the audit firms’ rosters will contribute to high-standard audit quality. High
assurance that their personnel in each level are competent and capable of performing quality engagements. The firms therefore should establish clear policies and procedures for monitoring and processing the
information, in materiality. In this regard, the SEC also filed a criminal complaint against {A} with Thai Royal Police for imparting false statement to the competent officer.Following the SEC investigation to