................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause
Determination regarding Definition of Institutional Investor and High Net Worth Investor. “client” means user of an intermediary’s services. “Stock Exchange” means the Stock Exchange of Thailand. “derivatives
was at 20.24 THB/kg, being lower than 3Q2017 CPO price by 2.19 THB/kg or 10% due to the fact that the domestic palm oil inventory remains at high level 400,000 tons in 3Q2018, while in the past
Reporting Standards 9 – Financial Instruments Thai Financial Reporting Standards 16 – Leases Training sessions to prepare directors, high-level executives, and auditors for the Personal Data Protection Act
asset rules, investment rules with higher level of diversification and reclassifications of funds to better reflect investment risks on the basis of exposure to net asset value instead of investment value
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
Seandar Inc. Seandar Inc. (or Seandar, Seandar Limited, Seandar Inc. Limited, Seandar (Asia) Ltd., Seandar Europe, Seandarfx) operated derivatives business without obtaining license or registration
Network Corporation Public Company Limited offer for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC. SEC Act S.300 Settlement Committee
Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license