Compliance, Inspections, and Examinations (OCIE) to share their experience with more than 200 capital market personnel from the SEC, the Stock Exchange of Thailand and securities companies on programmatic and
subsidiaries. Since the export of tapioca decreases resulting in decrease revenue of such product inspections. The Company has approved for sale in the business of Inspecting and Fumigating of Agricultural
Professor Dr. Thanes Weerasiri confirmed that post-earthquake inspections of buildings that requested assessment reveal no significant damage to their infrastructure, with the majority receiving green level
through both on-site inspections and off-site monitoring to ensure that they comply with relevant regulations, measures, and business standards,” added Deputy Secretary-General.
for investigations and inspections of capital market-related malpractices, which has facilitated and expedited the procedures, contributing to an enhanced efficiency in taking enforcement actions. The
include rule revisions to require SEC approved auditors work for audit firms having audit quality control system and inspections to ensure the quality assurance of audit firms? procedures both firm and
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
inspections on the company’s business undertakings in its capacity of private fund management as licensed under Type C Securities Business License, it was found that the company: (1) had presented false and
orders; and (6) To require that securities companies establish a work system for post-trade monitoring and examining clients’ executed trading transactions through random inspections of potentially