SEC will continue to develop the capital market by exercising our core value of openness, insightfulness, collaboration and integrity. Market participants and stakeholders can rest assured that the SEC
} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
(12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with relevant
intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with relevant regulators in utterly cooperative way
. He also claimed that the share issuer would increase capital shares and be allowed to resume trading on the Stock Exchange of Thailand. The client was interested in such deal but only had money for
cautious and deal only with licensed business operators in order to avoid scams and rip-offs. List of licensees is available at the SEC website (www.sec.or.th) under ?License Check? banner. In case of
recommended to deal with the said insufficiency; (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard
state the resources available. If no, How does the firm deal with this situation? Do the firm have technical panel to resolve and give consultations related to Accounting and auditing issues? If yes
has reduced proportionately to the loss of Asia and Poland from the group. These re-baselined figures have been independently assured by KPMG in December 2020. We have surpassed our first emission