. This case is in the process of inquiry by the inquiry official. SEC Act S.33 Criminal Complaint Filed with an Inquiry Official Dated 03/08/2022
Office. This case is in the process of inquiry by the inquiry official. SEC Act S.33 Criminal Complaint Filed with an Inquiry Official Dated 29/09/2022
securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable standard. Such units shall undertake independent
, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable
financial information is the foundation of a strong capital market, accounting professions in Thailand, such as accountants and auditors, play a critical role in providing reliable financial reports to the
) having a quality control system sufficient and reliable to continuously supervise its auditors to comply with professional standards, provided that such quality control system shall be in accordance with
notification of the SEC; for instance, having adequate sources of capital covering business operation and other several risks, having reliable operating systems and data security systems, maintaining records of
Questionnaire No. Particulars Firm's Reference /Guidance Notes Description 1 Does the audit firm design and implement the risk assesment process that includes the identification of quality objectives
upgraded CPN’s rating and its ratings of senior unsecured debentures to “AA” from “AA-“. The upgrades reflect CPN’s stronger financial profile, driven by solid operating performance and reliable streams of