standards. This is to ensure that the financial statements of all businesses raising fund in the capital market audited by qualified capital market auditors will be of good quality, accurate, reliable and
listed companies so that the financial reporting is reliable, of good quality from the very beginning, and meets the objectives. SEC, as one of the stakeholders in financial reporting system, will apply
Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses
and reliable details of business plans, products, platforms or working team. The SEC therefore strongly urges the interested public to become fully aware of the related risks, and contact properly
products or services being offered must be prominent. If containing a referral statement from others, furthermore, the source of the information must be reliable and clearly specified. In case of appointing
more transparent and reliable.?The SEC has been a member of IFIAR since September 2010. To be accepted as an IFIAR member, an audit oversight authority must demonstrate its independence from audit
, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having appropriate, reliable and efficient operating system to support an intermediary ’s
appropriate, reliable and efficient operating system to support an intermediary’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client
https://dividend.sec.or.th/stat-report/OFFER_DEBT_SHORT_EN.xlsx QAQR-07.xlsx is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system