a tender offer; Reviewing to comprehend the assumptions, policies and operational plans of the waiver applicant to be able to render opinions to shareholders regarding the reasonableness and
market itself by promoting it to be an attractive fundraising hub for both domestic and regional enterprises. To implement such framework, it is imperative that the financial reporting be reliable and
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
2015 and 2016 were restated because fictitious revenue had been recorded. The SEC reviewed Patamavan’s engagement performance as NMG’s auditor and found that she failed to obtain reliable evidence that
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
in the Thai capital market also resulted in higher level due to reliable financial reports of listed firms, helping facilitate those firms? overseas fund raising and boost competitive edge of capital
invest in some claim-to-be digital tokens which is in fact another form of Ponzi scheme. Such scheme can be detected by ambiguous business plans, products or platforms, as well as the lack of trustworthy
accounting standards; executives with trustworthy characteristics; and proper disclosure of material information for investment decision making. The regulations approved by the Capital Market Supervisory Board
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021