supervision and trustworthiness of listed companies? financial reporting. Vorapol Socatiyanurak, SEC Secretary-General said that ?Following the 2010 revamp of audit oversight to require SEC-registered auditors
the auditor without the presence of the management at least once a year. - Review the connecting transactions or transactions that may have conflicts of interest to ensure that they are accurate
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
AEC Securities Public Company Limited Between December 25, 2018 and May 22, 2020, AEC Securities Public Company Limited , as a securities and derivatives broker, failed to submitting an accurate and
Asia Wealth Securities Public Company Limited Between February 25, 2021 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to submitting an accurate and
DBS Vickers Securities (Thailand) Co.,Ltd. Between June 4, 2019 and June 7, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to submitting an accurate
SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement
such, impractical and outdated regulations will be revised to support underwriters? performance with trustworthiness and responsibility to investors, which will eventually build up their own credibility
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law