working procedures in terms of information verification and be in charge of their analysts? information dissemination. In case of any mistake or error, there should be a clear procedure for immediate

is not ordered by the Office to rectify serious fault in its operating system or to refrain from establishing any new branch office; (7) the management company shall demonstrate that the following

Exchange Act B.E. 2535 (1992); (6) the management company is not ordered by the Office to rectify serious fault in its operating system or to refrain from establishing any new branch office; (7) the

the next two years from June 16, 2011. The order has been issued after the SEC?s finding indicated his serious audit mistake and failure to comply with the auditing standards  in performing the audit of

, claiming that such money had been transferred to the client?s banking account by mistake by the securities company in charge. However, the client later found out the truth and received her money back from

such errors are identified; 2. Profits derived from error correction shall be credited to the funds while losses and expenses shall be paid for by error making asset management companies; 3

auditing standards.   During probation, the sanctioned auditors are advised to perform audit functions more prudently since another material mistake may affect their status as the SEC-approved auditors. # # #               

executives;2. Administrative sanctions: Somchai?s non-compliance with the auditing standards was a serious audit mistake, causing him to be disqualified from the status of an approved auditor for issuing

minor error occurred during the drafting. The consultation paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=676. Stakeholders and interested parties are welcome to send comments

ติดต่อกลับโดยเร็วที่สุด กรอกรายละเอียดของคุณ การกรอกข้อมูลมีข้อผิดพลาด: {{ error }} ส่งข้อมูล สำนักงานคณะกรรมการกำกับหลักทรัพย์ และตลาดหลักทรัพย์ 333/3 ถนนวิภาวดีรังสิต แขวงจอมพล เขตจตุจักร กรุงเทพมหานคร