representatives of companies, banks, and market participants. Behdad Nowroozi, James Seward, and Alex Berg provided advice and comments. Findings of this ROSC are based on the Detailed Country Assessment (DCA
Review Panel (“QARP”) First step with confidence Activities for audit quality enhancement Summary of inspection results Next step for stability Conclusion Significant statistical information 3 4 7 8 13 31
. The SEC findings also revealed that {D}, AEC co-chief executive officer in charge of back office, and {E}, AEC co-chief executive officer in charge of front office, had generally neglected supervision
result, the Settlement Committee imposed the fine of 1,101,000 baht on AEC. The SEC findings also revealed that Thada, AEC co-chief executive officer in charge of back office, and Pisit, AEC co-chief
pro-forma financial statements of the applicant in the case where its historical financial statements do not reflect the actual results of operations; (21) a rehabilitation plan (if any); (22) a
The Securities and Exchange Commission (SEC) invites public comments on proposed amendments to the regulations governing the reporting of initial public offering shares (IPO shares) results. These
and submit the findings and views to public prosecutor who has authority to prosecute the case against the offenders. The consideration of whether person is guilty or not is thereafter vested on the
Thai Fintech startups, research findings by SEC staff, researchers from academic institutions and relevant organizations, as well as insights from guest experts in the capital market. The event
.................................................................................................................... 7 The assessment process .......................................................................................................................... 8 Key Overall Findings
Kannithi Aviation Company Limited Kannithi Aviation Company Limited had duties to prepare and submit 10 results of the bill of exchange sale report to the SEC Office within the period as specified by