SHARE : SEC and SET run a joint public hearing on the proposed prohibition of investment company characteristics in issuing and listed companies Wednesday 20 July 2022 | No. 116 / 2022 Bangkok, 20 July

contracts on the Derivatives Exchange for 3 years from 15 December 2020; and a bar from serving as a director or executive in a securities issuing company or a securities company for 5 years from 15 December

system (KYC) that are appropriate to evaluate product risks against characteristics of each customer;  - separate departments or personnel responsible for customer assets safekeeping from other operational

frameworks for recruitment of officers, remuneration determination, and evaluate the performance of the Board, the Capital Market Supervisory Board, the SEC office, the subcommittee and the Secretary-General

evaluate the quality risks, how many levels are determined, and what are the definitions for each level? For example, how many level of likelihood are there, and what are the definitions for each likelihood

Activity_Report_62En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 Contents Executive Summary 02 42 45 19 30 04 08 14 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results B. Engagement-Level A. Firm-Level 38 Root Cause Analysis Framework and Focuses in 2019 Essential Statistics Auditing Landscape in Thailand Executive Summary The capital market plays an important role in d...

business continuity management and plans;   - have a customer onboarding and Know Your Customer system (KYC) that are appropriate to evaluate product risks against characteristics of each customer

- 8 8 2 Corporate fraud 2 2 - - Others - 2 1 - AnnUAL TOTAL 19 13 9 2 TABLe 6: Court Judgment under the Securities and exchange Act † Exchange rate 1 USD = 31.83 THB ‡ Issuing companies failed to duly

baht to 580 million baht, or increase in amount of 280 million baht by the 2nd quarter of 2020, by issuing 2.8 million ordinary shares at par value of 100 baht. The company holds 187,500 ordinary shares

Issuing Company’s Director and Executive Database of the company. In addition, I here by give my permission to the SEC Office to inspect my personal information relevant to consideration of the SEC Office