, that audit quality will not be compromised as the SEC will require both groups of auditors to work for audit firms that perform and equip with quality assurance system in compliance with professional

contain provisions that clarify and specify elements of the offences regarding market misconduct and increase enforcement measures to improve efficiency and compliance with international standards. The key

investment research in compliance with ASCO guidelines as approved by the SEC. The guidelines will include the requirements that brokers must produce investment research to cover at least 30 securities; each

มีการวิเคราะห์ต้นทุน (compliance cost) ผลกระทบ และประเมินผลสัมฤทธิ์ พร้อมทั้งสร้างระบบฐานข้อมูลและโครงสร้างพื้นฐานเพื่อการทำงานของ ก.ล.ต. ในอนาคต โดยใช้ประโยชน์จากเทคโนโลยีอย่างเต็มที่

risk management system for unit selling and purchasing was defective, and the internal audit and internal control systems as well as the compliance system were inefficient. Besides, the bank failed to

their own rights and at the same time promoting good governance. Moreover, the move also urges the board of directors to emphasize on efficiency under the CG principle and encourage constant compliance of

warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance

loans provided by clients, as well as, failing to discharge the duty properly as a manager in supervising and examining the staff's conduct to ensure the compliance with laws and regulations, in violation

?s quarterly and annual financial statements for 2004, which was not prepared in compliance with generally accepted accounting principles concerning the matching principle, which was a breach of

  งานตรวจสอบภายใน  งานกำกับดูแลการปฏิบัติงานของบริษัทหลักทรัพย์ (compliance) หรืองานสนับสนุนที่มีลักษณะคล้ายคลึงกับงานดังกล่าว “สำนักงาน”