information e.g. prescription of the area for concerned personal 1.1.3 Supervision of the Line of Operation (1) Having a system for cross checking of the operation between personal in the related division
cross checking of the operation between personal in the related division (Maker & Checker) (2) Having a clear prescription of duty of the person in an operation (3) Having work procedures for reference
statement to the SEC Office; and (2) the company submits a letter of certification to the SEC Office confirming that the company’s information does not change materially from the latest annual updated
the industry. Please refer to the SEC’s website. 39. Applicants shall request the SFC to provide directly to the SEC a certificate confirming that the Eligibility Requirements listed in Annex B to this
directly to the SFC a certificate confirming that the Eligibility Requirements listed in Annex B to this circular are met. The SFC will not be able to take up an application if no such certificate is
limit, including the procedures for verifying information on the percentage of unit holding by such person or group of persons; (8) Other facts necessary for making a decision to invest in the investment
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...
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