Facebook Page ชื่อ Stocks Are Not Difficult : Unlicensed securities and derivatives business (Disclosure Date : 22/01/2024)
Facebook Page ชื่อ Stocks Are Not Difficult - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 22/01/2567)
exempting fees for application and filing submitted during February 1, 2021 and December 31, 2023. We hope this exemption will further reduce a burden to private sector in this difficult time.”
capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the
efficiency and effectiveness of engagement performance. Most observations from the engagement-level inspections in the past inspection cycle were related to audit planning and audit of difficult and complex
services and to implement information collection and risk assessment processes. However, although with those processes in place, it is practically very difficult for the audit firms to ensure full
staff, as well as making it difficult to attract new talents. To improve the retention rate of high-potential employees, several audit firms started to adapt their strategy and policies concerning
information, it is difficult for investors to analyze and make comparison efficiently. Besides, brokers are increasingly leaning toward investment advisory services, especially those related to asset allocation