derivatives trading account in order to continue trading. She later made a summary trading report under the client’s account and sent it to the client for acknowledgement. In so doing, she concealed the trading
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
categorized as connected persons with the Company as follows details:- This amendment of investment value does not cause the Company to fall within the disclosure requirement under the Notification of the
transaction’s total value. 4.1 Transaction value: The discount to the water tariff given to the PWA is considered a connected transaction categorized as a normal business transaction without general trading
total assets as at June 30, 2017 and when included transaction occurring during the 6 months, size of transaction is equivalent to 29.51% which categorized as acquisition or disposal of assets of listed
investment in the past 6 months, it is not categorized as the transaction which falls under the disclosure requirement of the Notification of the Capital Market Supervisory Board No. ThoChor. 20/2551. Please
1,462.48 million. This transaction is categorized to be the acquisition of assets according to the Notification of the Capital Market Supervisory Board No. Tor. Jor. 20/2551 Re: Rules on Entering into
categorized as a small size transaction, therefore the company is not required to prepare the disclosure report. 3. The Board of Directors had approved the related transaction as following detail; 1. Disposal
categorized as securities brokerage, securities dealing, securities underwriting and mutual fund management, and allow such businesses to participate in the regulatory sandbox program, which has already
(Approximately Baht 9,366,679) which is accounted to 0.01% under the total value of consideration criteria (maximum transaction value criteria). The transaction is categorized as small transaction, is not required