additional evidentiary documentation; (2) Arranging for an independent expert to give an opinion relating to the correctness, completeness or reliability of the information in the registration statement and
from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
person shall sign to certify the correctness and completeness of the prospectus under paragraph one, and affix the corporate seal, if any. 7 Clause 13 In cases where the mutual fund increases its
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
SEC Secretary-General Rapee Sucharitkul revealed that “independence of the auditor is a key factor in establishing the reliability of the financial reports. When the international standards on this
companies; Ensuring fair treatment to shareholders of a takeover target company; Enforcing cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability
possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.