asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
increase via private placement (PP) to become ineffective until the SEC shall order otherwise. This follows POLAR?s announcement concerning (1) additional agenda of Extraordinary General Meeting (EGM) No.1
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
money to the company as originally intended by the client. Instead, he used the money for his own benefit. As a result, the client’s life insurance policy became ineffective and the client suffered
and where the audit firms were ineffective in monitoring their staff’s compliance with the ethical requirements. 5. Engagement performance In the SEC’s firm-level reviews of audit firm’s compliance with
/>ไม่มีความเคลื่อนไหว (inactive account) การมีนโยบายในการให้วงเงินซื้อขายหลักทรัพย์และการกู้ยืมเงินเพื่อซื้อหลักทรัพย์ที่สะท้อนถึงพฤติกรรมการซื้อขายหลักทรัพย์ของลูกค้า เป็นต้นนอกจากนี้
, returns and financial statements • All stocks that listed in Thailand, active and inactive • SET + MAI • July 2001 - July 2022 • Follow Fama and French (2018) and Hou et al. (2015) for factor construction
information contained in the draft prospectus submitted to the SEC Office, which is still ineffective under the law, therefore, such information may subject to change. In this regard, the offer for sale of
engagement risks, and ineffective participation from those involved in the financial reporting process. To mitigate these shortcomings, the SEC has initiated and participated in several ongoing seminars and