underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business

limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business, and securities

category of securities finance business, mutual fund management, securities brokerage, investment advisory service, securities dealing or securities underwriting without limitation to only debt securities

. (AIE) and its parent company, Asian Insulators Plc. (AI), to cooperate with the auditors in auditing their 2014 financial statements where the auditors were unable to express opinions due to limitation

or cooperated with clients in trading securities in such a manner that is inappropriate for clients? financial conditions, performance of obligations or investment limitation. Such conducts may be

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

a liquidity constraint from the financial crisis in 1997. EMC group went into the rehabilitation process with the central court of bankruptcy and led to the recover process after such event. Until

information, caution, restriction, prohibition or risk in relation to the services; (7) arranging for the acknowledgement and acceptance of the client about conditions or limitation of providing services as

AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the companies’ managements arising from lack of efficiency

repayment ability, or investment limitation, which does not comply with professional standards of conduct. In the case of Prakaidaw Jongdee: According to a securities company?s report on a client?s complaint