นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงาน "2021 UN Women WEPs Awards High-Level Dialogue: Envisioning the future for a more gender
The Ethical Standards Committee requires that state agencies formulate a code of ethics in accordance with the ethical standards specified under the Ethical Standards Act B.E. 2562 (2019). The
-risk or complex products, i.e., derivatives, high-risk or complex of debt securities and mutual funds 1 Obtained a bachelor’s degree. ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
professional standards and/or regulation, such as accounting firms, accredited verifiers, and regulated credit rating agencies, while others are not. At a high level, all firms providing external reviews should
weighted average scores for each TSQC1 element from the first-cycle and the second-cycle of firm-level inspections The SEC found that the audits of listed companies’ financial statements were of high quality
the quality risks in Acceptance and Continuance of Client Relationships and Specific Engagement element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1
approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be
) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or