. Additionally, the firm consents to audit quality inspection carrying out by inspectors of the SEC Office; 2. I certify that if an auditor of the audit firm has been registered with the SEC Office, the audit firm

to audit quality inspection carrying out by inspectors of the SEC Office; 2. I certify that if an auditor of the audit firm has been registered with the SEC Office, the audit firm will regularly review

International Standard on Quality Control 1 (ISQC1) issued by the International Federation of Accountants (IFAC). Additionally, the firm consents audit quality inspection carrying out by inspectors of the SEC. 2

  การคัดเลือกผู้สอบบัญชีที่มีคุณภาพจากข้อมูล Firm inspection report ​ ​ แนวทางการพัฒนาภาคการเงินเพื่อความยั่งยืน ( Sustainable Finance Initiatives for Thailand) ​  ​ ​ องค์ความรู้ตลาดทุน

working for Asia Plus Securities Co., Ltd. at the time of misconduct.Following the inspection report submitted by Asia Plus Securities and the subsequent examination conducted by the SEC, it was found that

routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading

Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and

damage to the client. With reference to the bank?s report on the client?s complaint and the SEC's further inspection, {A} was found to have signed on the unit redemption form of Bualuang Long-Term Equity

Thailand (SET), the SEC?s further inspection has revealed that on 3 November 2014, Pichet, then director, executive director and managing director of accounting and finance of MLINK, reported to the SET a

According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order