/1146pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets
https://publish.sec.or.th/nrs/3453pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system
firm. ** An audit firm that has passed an inspection of the SEC has an audit quality control system in line with professional standards and sufficient personnel
to have failed to maintain sufficient quality control system in accordance with the professional standards, which will raise the investor protection and creditability of Thai capital market to be in
will affect the internal control system and the good corporate governance and may lead to conflicts of interest. In addition, it is forecast that GSTEL may incur additional expenses which will affect
loan repayment to lessen the company?s interest burden. The aforesaid risks can, however, be avoided in case GJS arranges to have a clear, strict, and concise internal control system with efficient
website of the SEC Office: (a) certifying that such audit firm has an audit quality control system under Clause 11(1) and giving consent for an inspection of the system by inspectors from the SEC Office; (b
system capacity management; (5) Enhancing cybersecurity control measures to strengthen and protect the capital market from cyber threats in alignment with the requirements prescribed by Thailand’s
audit firms in the capital market, requesting their cooperation in giving more importance to a strict audit quality control system with regard to protection of clients’ confidentiality. The SEC will
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information