is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it
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
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
guideline and description about the risk factors and the criteria to risk scoring. This will encourage the assessor to better document the conclusion of risk assessment procedure and will also standardize the
January 26, 2015, the Bangkok South Criminal Court found an defendant was death, the right to prosecute shall be extinguished pursuant to section 39(1) of Code of Criminal procedure. The Court disposed of
sufficient and effective system for Know Your Customer and Customer Due Diligence : KYC/CDD procedure between October 4, 2018 and April 11, 2022 which violated section 133 paragraph 2 of the Securities and
PowerPoint Presentation Procedure for Investigation and Enforcement Measures Sources of Information to stimulate enforcement actions The SEC Office’s preliminary consideration Has a sign of any
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By