somewhat more popular fund raising channel as witnessed by the continuous increase in corporate bond market value. Survey on asset management companies indicated that mutual funds for accredited investors
with access to inside information and the number of directors indicated direction of the earning management of listed companies, especially for those in financial sector. Dr. Nattawoot Koowattanatianchai
submitted the special audit report in November 2017, which indicated that EARTH had used the advanced payments, the payment for the right to purchase goods and other assets in exchange for the mining property
protection with accurate and sufficient information for investment decision and build confidence in quality of financial reports of businesses in capital market. The inspection results indicated that most
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
indicated impressive improvement in terms of audit manuals and audit programs for most of the audit firms. Nonetheless, more emphasis on some areas is needed, such as planning and risk assessment as well as
admitted that the client, at the beginning, had authorized him to make securities and derivatives trading decisions on her behalf. Also, the recorded conversation found later indicated that the client
Bangkok, July 20, 2015 ? The SEC takes further actions under the securities and exchange law after the Department of Business Development (DBD) clearly indicated that disallowing shareholders to
., the fact that {A}, an executive director and a senior executive of the company as well as a financial advisor supervisor approved by the SEC, had serious performance deficiency indicated that the
clients more than 93 million baht during July 2013-January 2014. Evidence indicated that in the former period, he made trading decisions and notified his clients afterwards. The clients then acknowledged