their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market
their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his
clarify and disclose information in the following matters: (1) the true existence and legal rights on the coal mines, and (2) the report on the re-assessment results of the fair values of the mining
providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose
Activity Report 2016_En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 Executive Summary...................02 Quality Assurance Review Panel................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause Analysis...................42 Framework and Focuses in 2017...................44 Essential St...
The Securities and Exchange Commission สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:18 [Digital Asset] Trading VALUES Classifid BY TYPE of Assets [Digital
The Securities and Exchange Commission สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:16 [Digital Asset] Trading VALUES Classifid BY TYPE of Exchanges [Digital
The Securities and Exchange Commission สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:14 [Digital Asset] Trading Values Classifid by Type of Investors [Digital
[Digital Asset] Trading Values Classifid by Type of Investors ( 2 record(s) found) No. Report Name Data File As of Data Definition 1 Trading Values Classifid by Type of Investors August/2023 Click here to