knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC
appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently that violate section 113 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick
Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel
investment unit brokerage to maintain ongoing capital at a ratio appropriate for their business and in line with international standards. In addition, the new rules would enhance business continuity while
. Drafting single form is based on the principle of gathering necessary and sufficient information to ensure provision of appropriate services in compliance with the law, and to provide ease of filing for
providers, to be able to operate their businesses with more liquidity and effectiveness. The regulations also help business providers to dedicate their resources into excellent and appropriate goods and
industry growth. Over the years, the SEC and the TDO have collaborated to promote the use of digital assets as a fundraising tool, ensure appropriate investor protection, and develop guidelines for
appropriate audit evidence and the possible effects are material, but not pervasive, resulting from: ( 2.2.1 circumstances beyond control of the entity (paragraph.........); ( 2.2.2 circumstances relating to
2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ฆ 2.2 Inability to obtain sufficient appropriate audit evidence and the possible effects are material, but not pervasive
information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is available from