/LawsandRegulations/securities-ITchecklist.xlsx QAQR-03.xlsx Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g
imposed fines on another principal and aiders or abettors of the RICH price manipulation scheme.The action of {A}, one of the principals in the RICH price manipulation scheme, was in violation of Sections
Bangkok, 13 December 2016 ? The Criminal Fining Committee has imposed a separate, equal fine, totaling at 5,917,125 baht, on five joint principals in the manipulation of the Yong Thai Public Company
) Approving partial repayments of the bond principals in an aggregate amount of not less than 10 percent of the principal value of each bond series as of the bond issuance dates. The partial principal
/securities-ITchecklist.xlsx QAQR-03.xlsx Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint
, 2006, the SEC filed a criminal complaint with the Department of Special Investigation against the above 4 persons. The principals were 3 ex-POWER-P executives responsible for the company operation
between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint property interests etc. 2 https://www.sec.or.th/TH/Documents/Auditor/QAQR-03
relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint property interests etc. 2 https://www.sec.or.th/TH/Documents/Auditor
criminal complaint with the Economic Crime Suppression Division against {A} and {B} and the parties involved on account of being co-principals in operating derivatives business without approval. Due to
lawsuit against them with the Bangkok South Criminal Court.The Bangkok South Criminal Court ruled against both defendants as principals on two counts in accordance with Section 42 Chor (1), (2) of the