Miss Yaowaluck Pukpikul This case is in the process of inquiry by the inquiry official. SEC Act S.34 Criminal Complaint Filed with an Inquiry Official Dated 27/12/2023
Renaissance Fund Management LTD. This case is in the process of investigation by the inquiry official. SEC Act S.97 Criminal Complaint Filed with an Inquiry Official Dated 01/11/2023
Renaissance Fund Management LTD. This case is in the process of investigation by the inquiry official. SEC Act S.section 105 Criminal Complaint Filed with an Inquiry Official Dated 01/11/2023
ASIA WEALTH SECURITIES COMPANY LIMITED This case is in the process of inquiry by the inquiry official. SEC Act S.97 Criminal Complaint Filed with an Inquiry Official Dated 06/03/2024
Auditing Mechanism and Balances SEC Code of Ethics SEC Anti-Corruption Policy The SEC values Code of Governance As an agency with missions for promoting, developing and supervising the capital market
there are a few audit firms that, due to deficiencies found during the inspections, are in the process of implementing a more effective quality control system especially on the elements of engagement
on Investment Analysis on Technical Factors (5) Knowledge on Ethics of Investment Analyst 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 1 year during the
กลต.กส.(ว) 43/2565 เรื่อง การให้ความร่วมมือกับผู้สอบบัญชีในการดำเนินการตามข้อกำหนดในเรื่องการตอบสนองต่อการไม่ปฏิบัติตามกฎหมายและข้อบังคับ โดยที่ International Ethics Standards Board
professional ethics, the provisions of law relating to auditors, and the SEC regulations. Furthermore, registered auditors shall work for audit firms that have an audit quality control system in compliance with
process in line with the current economic environment, international standards and relevant laws. The key points of revision are: (1) To increase the amount of damage claim eligible for entering the