auditor appointed by an audit firm is unable to perform audit work for a listed company and the audit firm has an insufficient number of auditors in the capital market to handle the situation, the listed

Bangkok, 12 January 2024 – The Securities and Exchange Commission (SEC) is seeking public comments on proposed amendments to the regulations requiring audit firms to maintain a minimum number of

Message File Signature Data Certificate Result Certificate Issuer Certificate Serial Number Certificate Expiry Date Officer Email Company Registration Number Company Name SignMessage & Verify SignFile

Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3

provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading

consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients

? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders

: ...................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the

authorization letter + information regarding independent directors b. Shareholder Approval  A vote of not less than three-fourths of the total number of votes of shareholders attending the meeting who are

the true owner of the trading account, and adding a new contact phone number to the client's personal profile even though there was no evidence that the client had ordered the responsible investment