deception to customer or may make them misunderstand in any material aspects. Clause 27. Derivatives broker shall arrange to have complaints handling system, report of customer complaints and result of the
derivatives trading or guilty of deception, fraud or dishonesty, or having been fined for such violations; (c) having been named in any complaint relating to violation under sub clause (b) by financial
discrepancy in corporate income tax calculation for tax privileges granted by the Board of Investment (BOI) in which the practice of the Revenue Department shall be followed as announced by the Ministry of
Securities and Exchange Commission 10,13-16 The GPF Witthayu Building 93/1 Wireless Road, Lumpini, Pathumwan, Bangkok 10330. Tel: 0-2695-9999, 0-2263-6499 Fax: 0-2256-7711 www.sec.or.th. Securities and Exchange Commission Independent Audit Inspection Activities Report Independent Audit Inspection Activities Report for the 1st Cycle 1 October 2010 - 31 December 2012 Introduction Quality Assurance Review Panel (“QARP”) First step with confidence Activities for audit quality enhancement Summary of...
of securities business, derivatives business or trustee business liable to be considered as deception or defrauding the public. Section 289 in conjunction with Section 90 Section 125 in conjunction
Activity report 2015 En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2015 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2015 Contents Executive Summary ....................................................... Quality Assurance Review Panel ................................... Activities for Enhancing Audit Quality ............................ Summary of Audit Inspection Results A. Firm Level ............................................................ B. Engagement Level ..........................
action against or being punished in the past according to the management in the manner of deception, defraud or dishonest to properties as prescribed in Clause 25; (3) prohibited characteristic of Group 3
) having been adjudged by the final judgment for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception, defraudation or corruption, or
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...