, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to communicate with clear and reliable information, and without misleading information. SEC Act

(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee

CFA INSTITUTE STATEMENT ON “GUIDANCE FOR INTEGRATING ESG INFORMATION INTO EQUITY ANALYSIS AND RESEARCH REPORTS” CFA Institute commends the SEC Thailand for promoting a diligent and thorough approach

own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation

is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it

business, which also reduces redundant identification processes.  As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be

2015 and 2016 were restated because fictitious revenue had been recorded.  The SEC reviewed Patamavan’s engagement performance as NMG’s auditor and found that she failed to obtain reliable evidence that

identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect

in the Thai capital market also resulted in higher level due to reliable financial reports of listed firms, helping facilitate those firms? overseas fund raising and boost competitive edge of capital

quality of audit firms and performance of individual auditors instead of solely focusing on audit fees. In the long run, a reliable quality control system would support auditors and their teams in providing