remained unchanged at 20%. In 2013, the SEC performed the firm-level reviews for the total of 8 audit firms, as planned, and observed significant improvements in most aspects, especially in client acceptance
leaders make careful resource allocation such that the factor of human resources is considered during client acceptance stage to ensure sufficient resources and appropriate assignments of audit works to
; (15) any other person specified by the Bank of Thailand as having a permission to invest in outbound products , as prescribed by the SEC Office. Clause 14 3 In providing services to a client who is a
specified by the Bank of Thailand as having a permission to invest in outbound products, as prescribed by the SEC Office. 7 Clause 143 In providing services to a client who is a juristic person incorporated
ยวกับผลิตภัณฑ์ ในตลำดทุนที่เป็นหน่วยลงทุนและตรำสำรหน้ี ลงวันที่ 9 กุมภำพันธ์ พ.ศ. 2560 -5- ในกำรติดตำมและตรวจสอบกำรท ำหน้ำที่ของตัวกลำง เช่น บริษัทจัดกำรจะไม่สำมำรถ call back client ได้ เป็นต้น ควำม
service personnel by a major client, due to COVID 19, and is expected to recover in the near future. This client has recently listed our company in their formal vendor registry, plus we have added new major
company may be liable to an offense related to client assets, which may cause damage to the clients, pursuant to the resolution of the SEC Board. Zipmex submitted clarifications on the matters to the SEC on
, {X1} has already paid for the compensation in full for each affected client. Owing to this case, the SEC has found that {X1}'s risk management system for unit selling and purchasing was defective, and
deferred some finance cost expected to get compensation from its client. Income tax expenses for 1H/2017 amounted Baht 43.46 million, down by Baht 73.91 million or 62.97% The Company and its subsidiaries had