publish investment knowledge via SEC’s online channels. The main activity, a virtual seminar on “Young Investor Day”, will be held on 6 November 2021, which includes an experience-sharing session by
risks Transition risks • Policy and regulation • Technology development • Consumer preferences Physical risks • Chronic (e.g. temperature, precipitation, sea levels) • Acute (e.g. heatwaves, floods and
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...
passive management. These shall include ETFs whose investment policy aims to generate returns for investors according to the price movement of physical gold bars (Gold ETF) or through investment units of
Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection
and risks associated with rapidly evolving digital assets and apply the principle of “same activity, same risk, same regulatory outcome.” This aligns with the TDO's important goal of driving the
checked at the “investor alert” link https://market.sec.or.th/public/idisc/th/investorAlert Any signs and clues of suspicious activity can be notified through the “SEC Help Center”, Tel. 1207, or Facebook
can be submitted to the SEC before the filing the original application for approval 4. Submit activity reports on wealth advisory operation (particularly item 4.1) to the SEC, so that the SEC can use to
แวดล้อม (physical and environmental security) .....34 2.8 การรักษาความม่ันคงปลอดภัยในการปฏิบัติงานดา้น IT (IT operations security) .............................................35 2.8.1 การบริหารจดัการการ