transactions (particular risks might arise when multiple users access a common database); • The possibility of IT personnel gaining access privileges beyond those necessary to perform their assigned duties

Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to perform her duty resulting in AEC?s violation of section 97 SEC Act S.283 Settlement

perform work related to business operations in the year 2022 within the period specified in the notification of the SEC, that is December 31, 2022. DAB Act S.30 Settlement Committee Meeting No. 4/2023

for assigning other persons to perform the work related to business operations. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. DAB Act S.30 Settlement

result of economic situations caused business operators to increasingly perform fundraising through bond issuance, and the public in turn search for investments with higher yield that were often associated

Management 1 (ISQM 1) and the support for audit firms in the Thai capital market to acquire audit software and audit tools to help them perform the audit work. In addition, the SEC launched a hotline

Notification shall come into force as from 16 March 2007.                 Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform

this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform securities brokering, dealing, underwriting, mutual fund management, private fund

come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform securities brokering, dealing

SEC Office under this Notification shall be allowed to perform an audit work and affix signature in giving opinions on the auditing of the following businesses: (1) a company applying for an offer for