Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with
Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and
: Fundamentals of Finance 11 Summary of Audit Inspection Results A. Firm Level The favorable quality control systems of audit firms ensure that the firms’ personnel will perform engagements according to the
auditors and perform the audit under the provisions of the law governing auditors and any additional regulations specified in the notification of the SEC. The approval of the auditor under the first
auditors and perform the audit under the provisions of the law governing auditors and any additional regulations specified in the notification of the SEC. The approval of the auditor under the first
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the
warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
M.L. Apisada Chayangkura (formerly M.L. Phatarawadee) M.L. Apisada Chayangkura (formerly M.L. Phatarawadee), former director of SECC Holding Co., Ltd. (SECC Holding), failed to perform her duties as