the SOQM areas they are responsible for? c) Please provide the date or expected date of the final SOQM's evaluation results for the latest period. d) Please provide the final evaluation result for SOQM
. Personally, I would be pleased and thankful for public monitoring, examination, and evaluation of my work as the SEC Secretary-General. All feedbacks and suggestions are welcomed as part of our mutual efforts
, professional, business and investor associations opened up active channels to voice concerns, comments and suggestions regarding the issues of impacts on market participants and the capital market at large. Such
public by such securities companies and derivatives broker. In this regard, the SEC Thailand assumes no responsibility for verification, examination or certification of completeness, accuracy and update of
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus
deduced that these shortcomings are caused by two major factors: the shortage of qualified audit personnel and the inability to react to changes of professional standards. This shortage of human resources
of market integrity and investor protection by raising professional work standards and capabilities of both entities and individuals involved with various functions of our capital market such as
regulations and professional standards and to ensure that they will be able to exercise their duties efficiently to the fullest capacity. Meanwhile, the SEC is laying out the foundation of a robust and adequate
evaluation will be an effective tool and have no impact on the partner’s morale and sentiment. towards the organizational culture. Should they prioritize the direction of policies and procedures that expresses
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to