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...
particular issuer’s governance by allowing them to buy or sell the issuer’s securities, as appropriate. The quality of the stock market’s rules and regulations that establish listing criteria for issuers and
; (2) make a price compensation in accordance with the rules set forth in Clause 17, and use any methods to ensure that the persons who buy or redeem investment units within the period in which the
Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the Organisation or of the governments of its member countries. This document and any m...
B57.2bn ë Local institutional investors net buy B2.2bn ë Foreign investors net buy B55bn Figure 1: SET Index and Turnover Value (Jan 3 - Dec 28, 2007) The index declined sharply during the first week of the
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
purchase or sell a securities with a [concurrent] agreement to sell back or buy back such securities; (3) any contract or trade as specified in the notification of the SEC. SECTION 5. Any derivatives
further improvements in the legal framework in relation to (1) business merger and acquisition in which complicated and time consuming process is currently involved, (2) civil sanctions to become an
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...