prohibits any employing securities firm or issuer from treating its employees unfairly by such means as change of position, type of work or work location. Whistleblowers shall be treated fairly and protected
licensed firm Give advice Retail investors Licensed & regulated by Home regulator ACMF pass holder Fast-track approval Give advice Non-Retail investors Attachment is subject to host’s Laws and Regulation
trading transactions regularly. In case of doubtful authenthicity, investors should seek clarificatioin from the back office of such securities firm. It should be reminded also that money for trading
trading transactions regularly. In case of doubtful authenthicity, investors should seek clarificatioin from the back office of such securities firm. It should be reminded also that money for trading
June 2021. This year, the representatives from Deloitte and EY Thailand also attended to share and confer on the significant audit development initiatives, and how each firm responds to the emerging
are underestimated and (3) familiarity bias: making decision based on familiarity such as investing in the firm for which the investor is working. As the regulator, the SEC has put more weight on
their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to
% respectively, while international business grew at 7.3% at constant FX. Q4’19 Revenue from sales were at THB 6,621 million (+4.6% YoY). - Fit Fast Firm project (OSP’s cost saving program) successfully delivered
Assurance Review Panel (“QARP”) 5 02 Activities for enhancing audit quality 10 03 Summary of inspection results 15 A. Firm level 16 B. Engagement level 28 04 Root cause analysis 38 05 Our focus for 2015 41 06
....................................................... Quality Assurance Review Panel ................................... Activities for Enhancing Audit Quality ............................ Summary of Audit Inspection Results A. Firm Level