to order or act resulting in Beyond’s failure to put in place sufficient and effective risk management system which violated Section 113 of the Securities and Exchange Act B.E. 2535 amended by the
notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset trading, causing the coin prices displayed in the order book was inaccurately
comply with the rules, conditions and procedures as specified in the notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset as
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective Investment consultant ("IC
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for arranging and keeping
these threats to their independence. 3. Client acceptance and continuance Appropriate client acceptance and continuance process could help audit firms to ensure that they have sufficient available staff
, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1
appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the
Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material
. The SEC considers qualifications of securities issuers and supervises the disclosure of information in order for the investors to have sufficient information in making an investment decision