Bangkok, 16 September 2016 ? The National Legislative Assembly has approved the new amendments to the Securities and Exchange Act (SEA), which aim to enhance enforcement efficiency by amending the
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
procedures. E Engagement documentation: 13 Has the firm established policies and procedures for engagement teams to complete the assembly of final engagement files on a timely basis after the engagement
: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for engagement teams to complete the assembly of final engagement files in a timely basis after the
. The thorough and complete assembly of final engagement files as well as workpapers by the engagement teams in an appropriate timeframe will ensure that the auditor possesses sufficient appropriate audit
conduct the review and the review would not be piled up at the end of period. - Most of the audit firms establish policies for engagement teams to complete the assembly of final engagement files accordingly
; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as... https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act
; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as... https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act