Agency ● Internal Management 57 Board of the SEC 58 Appellate Committee 59 Sub-committees and Steering Group 66 Arbitrators 67 Executives Officers 68 Capital Market Performance 2001-2003 72 Investigation
as follows: Open: Willingness to actively listen and have a constructive dialogue to understand the needs, limitations and opportunities of all relevant parties to achieve mutual understanding and
enforcement order to seize the property in accordance with the procedure. At present, it is in the defendant’s property investigation process. 1.2 Muse Group Bangkok Company Limited is in debt to the Company
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
auditor’s understanding of his/her client. The planning and performing of these procedures, whether alone or in combination with tests of details, should be in accordance with the requirements of the relevant
investment analyst by a regulator in an ASEAN country which is accepted by the SEC Office.1 1 an ASEAN country which is accepted by the SEC Office means a signatory to the Memorandum of Understanding on the
Appellate Committee 70 Sub-committees 76 Other Committee and Steering Groups 78 Arbitrators 79 Procedure for Investigation of Possible Contraventions of the SEC Act and Criminal Action 81 Financial Statements
, the SEC deems it necessary for the audit firms to be self-reliant, which always starts with an adequate supply of competent audit staff who possess thorough understanding of both accounting and auditing
clearing and settlement related to or because of a client’s derivatives trading. The benefits, the controlling power or the financial support under Paragraph 1 may arise from an agreement, an understanding
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