services” added Rapee.Interested parties in applying for approval of wealth advisor are welcome to contact SEC for advice and recommendations via telephone on 0-2263-6050 and 0-2033-4620, or email
formal meeting invitation was prompted by the urgency of the matter. The meeting was therefore conducted virtually via telephone instead. Given the significance of the case concerning the duties of listed
/advertising information / services provided by the company, for instance: Solicitation to buy stocks/derivatives/mutual fund Portfolio information Email, address, telephone number, a certified copy of Thai
are sufficient and correct before forwarding them to the Board of Directors for consideration. - Review the internal control system to oversee that the internal audit procedures are adequate
practitioners to become self-regulated community, especially in the oversight of members’ compliance with ethical and professional codes of conduct and imposition of disciplinary actions. The SEC has also
is not sufficient to provide assurance that such non-audit services may or may not impair the independence arising from the self-review threat or advocacy threat. • The audit firm may lack necessary
- Translation - 1 K.C. Property Public Company Limited 202 Le Concorde Office Tower, 19th Floor, Room No. 1901, Huaikhwang District, Huaikhwang Sub-District, Bangkok 10310 Telephone. 0-2276-5924
: ......................... Sub-district: ................. District: ...................... Province: .................. Telephone: ................................................... Facsimile
: ......................... Sub-district: ................. District: ...................... Province: .................. Telephone: ................................................... Facsimile
whether the code of conduct is complied: 1.3.1 Monitoring and assessment by an internal audit unit or a compliance unit; 1.3.2 Self -assessment by executives and employees; 1.3.3 Assessment by independent