control unit which meet acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and
control system for goals and objectives achievement, compliance with applicable laws and regulations, safeguarding of the assets from frauds and damage, and preparing reliable accounts and reports. The
information. The IFA assumes that such information is accurate and reliable at the time the IFA prepared this opinion report. However, if such information is found to be inaccurate and/or incomplete and/or
–. The selected KPIs’ internal control and reporting processes are relevant, transparent and enable to provide reliable data. All relevant information related to the KPIs, including results, underlying
in turn helps to foster a more trustworthy, efficient, and inclusive capital market for all sectors. More information is available at https://sustainablefinance.sec.or.th/Fund Remark
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
distinctive goal: to create stability to the Thai capital market, which means quality and outstanding operation results of listed companies; reliable securities trading system; securities trading based on
SEC Office. Clause 17 The foreign personnel under Clause 16 shall be fully qualified as follows: (1) being reliable and highly capable of providing information or advice on the capital market products
website of the SEC Office. Clause 17 The foreign personnel under Clause 16 shall be fully qualified as follows: (1) being reliable and highly capable of providing information or advice on the capital market