and work systems to ensure orderliness, fairness, efficiency and reliability of market activities, and support appropriate fundraising, investment and securities trading to promote continuing growth of
the auditor is unable to obtain sufficient appropriate audit evidence, auditor should report audit committee to proceed with the matter. In case audit committee is aware of the matter but does not take
an independent expert in the relevant specific field give an opinion on the accuracy, completeness or reliability of the information presented in the registration statement and draft prospectus. If the
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
from the last day of serving the previous audit firm. 5 Clause 96 In considering the application for approval, the SEC Office shall proceed with either one of the following actions, as the case may be
the applicant to clarify, take action or submit additional documents and evidence within the period of time prescribed by the SEC Office. 4 In cases where the applicant does not proceed in accordance