the Notification of the Office of Securities and Exchange Commission No. SorJor. 31/2563 dated 27 March 2020. It shall, also, clearly disclose the events that cause obstacles or limitation to its
) accounting system and internal control system of audit clients prior to accepting an audit engagement, (5) correlation between compensation and audit quality, and (6) root causes analysis and remediation plan
inadequate documentation of the risk assessment process, as well as on the process of identifying the potential responses to the identified risks. Accordingly, before accepting any new audit clients, the audit
identified by the SEC The recommendations for improvement Findings identified by the SEC The recommendations for improvement 3. Acceptance and Continuance of Client Relationships The process of accepting and
transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts
transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts
derivative warrants of 90 companies, amounting to the total trading value of approximately 130 million baht.By accepting a client's assignment to make investment decisions for the client, {A} failed to perform
Increasingly, the public and listed companies begin to take interest in performing transactions related to digital assets in various forms such as investment in digital assets, accepting
associated with digital assets. The SEC recommends that anyone interested in trading digital assets study information and all associated risks carefully and make sure that they are capable of accepting the
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC