Official Dated 16/10/2017 misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting

University INTRODUCTION • What is the effect of regulatory jurisdiction on the behavior of financial actors? Specifically, investment adviser misconduct? • Setting: Dodd-Fank re-jurisdicts “mid-size” RIAs in

profession standards. Furthermore, the SEC representatives attended conferences to share ideas and experiences with the stakeholders and participated in domestic and international symposiums. obtain certain

obtain ACMF Pass and carry out investment advice which are permitted activities under the MOU in Host Jurisdiction. This handbook set out the guidance on ACMF Pass by: 1.2.1 Explaining the scope of

offer for sale of baht bonds, the foreign entity issuer must obtain an approval and adhere to the obligations specified by the Ministry of Finance. However, given the changing contexts and landscape of

obtain sufficient appropriate audit evidence in relation to investment in Smart Traffic Co., Ltd., an associated company of EIC, impairment loss of investment and share of loss of such associated

unable to obtain sufficient and appropriate audit evidence with respect to valuation of investment in PT Sunhub Mining International (SMI), an associated company, and share of loss of investment in SMI

and Q1/2014 financial statements respectively due to limitation on their scope of audit/review. Accordingly, the auditors were unable to obtain sufficient and appropriate audit evidence with respect to

impairment of assets. In addition, the auditor was unable to use other means to obtain sufficient appropriate audit evidence on the matters. The SEC therefore instructed STHAI to rectify 2012 financial

personnel while some of the existing capital market personnel will be required to obtain the SEC approval with a view to enhancing supervisory efficiency.The consultation paper is available on www.sec.or.th