documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or
in its Q2 and Q3/2017 financial statements were incomplete and ambiguous, which is likely to affect the rights and interests of shareholders or the decision making on investment. For example, an
company's shares, had prepared and submitted incomplete and inaccurate information. The said information was material for identifying the persons who had taken benefits from having access to or learning of
8 percent per annum until completion of Mandawee Sawasdee listing; however, while the listing was incomplete, the investment money could be withdrawn within 45 days. Prasit was also found to have
incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility
imprisonment for violating Section 312 of the SEA for permitting false records or no record of important information in POWER-P’s 2005 financial statements and documents, as well as incomplete, incorrect and
instigator or an abettor, etc.; (5) the complicated nature of the act or the tool used in committing such act, such as using a disguised name of other person or establishing a company for concealment, etc.; (6
respective markets toward sustainable growth. The SEC also rendered stronger cooperat ion with the ASEAN in developing working systems of respective markets toward the same direction to streamline complicated
is so numerous that to conduct a case as an ordinary case shall be complicated and impractical.2 2. The consequence of the judgment The judgment of the Court shall have the consequence of binding the
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...