Earlier, the SEC received tips from the concerned public and stakeholders that unlicensed digital asset business operators, both local and foreign, were soliciting investments and services to the public at a financial technology exhibition held at a shopping center. The SEC thus conducted an on-site investigation to collect evidence. Today, the SEC and the ECD inspected the exhibition booths at the fintech expo and found a number of business operators who may be liable to undertaking securities...
references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
operator. Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure Code, after receiving the complaint, the inquiry officer will investigate the case
-time or part-time auditors and individuals in the service delivery center) 3 Does the firm always acquire satisfactory references when engaging senior and high-level audit staff? 4 Does the firm examine
The SEC is also working with the DSI in accordance with the bilateral Memorandum of Understanding for Cooperation to investigate EARTH’s suspicious acquisition of the legal rights over coal mines in
Bitcoins worth approximately 797 million baht. SEC is working closely with the enforcement personnel to investigate further details and examine whether there is any violation of laws governing securities
Persons for Securitization of 1997 , and the Emergency Decree on Digital Asset Businesses of 2018 . To determine a violation and take an action on any individual or firm, the SEC would investigate and
www.sec.or.th/scamalert or email: scamalert@sec.or.th. The SEC will verify and further investigate all submitted cases promptly and notify relevant authorities to remove fraudulent contents or channels used for
Service Agreement with HCDS. The delegation of the Audit Committee to investigate such transaction was resolved by the Board without the participation of directors who have conflict of interest and held no
quality of the first draft of financial statements that the auditors receive from the financial statements preparers. There are 3 objectives in this study. 1. To investigate the characteristics of