service provider/intermediary about an investment product; for advice or recommendations; and how they are remunerated for the transaction. • Confident to assess the level of trust that can be invested in a
for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess
activity, not an entity or a project. In order to assess the eligibility of the activity under the Thailand Taxonomy, one must first dissect an entity or a project into separate activities that generate
expiry of safeguard on alloy steel, and strengthening of Thai Baht, and the current out break of COVID-19 has led to continuous decline in domestic steel prices from second quarter of 2019 and impacted the
total revenue from the other clients thereof. 7. Safeguards against independence impairment of the partners in the Audit Firm Please explain the safeguard against independence impairment of the partners
the partners in the Audit Firm Please explain the safeguard against independence impairment of the partners in the Audit Firm and the scheme or criteria in setting up the remuneration to the partners in
update information systems, encourage innovation and promote the use of technology throughout the organization to effectively support and safeguard the continuity of the SEC’s operations. 6. Accountability
average selling price decreased considerably due to slowdown in Thai economy, strengthening of Thai Baht, and surge in imports of Alloy Steel and Galvanised HRC post expiry of safeguard duties. While total
ec ti on A ct iv it ie s Re po rt 1 J an ua ry 2 01 3 - 31 D ec em be r 20 13 comparison was not carried out. Audit procedures were not performed to assess the reasonableness and reliability of the
and report to boards, investors rely on them to objectively assess a company's financial statements. Similarly, securities analysts need to provide disinterested assessments of a company's prospects not