successful implementation of policies and strategic plans and compliance with international standards. International Organization of Securities Commissions (IOSCO) ASEAN Capital Markets Forum (ACMF
; (4) “Connected persons” means any of the followings: (a) Executives of the business; (b) Major shareholders of the business; (c) Persons with power of control over the business; (d) Persons with
who commit offenses as prescribed by the acts/royal decrees under the power and duties of the SEC Office. 1. Personal data collected by the SEC Office: The SEC Office collects the following personal
addition, there is no reasonable ground to believe that the applicant has any deficiency or is not appropriate regarding control and sound business conduct; (3) being able to maintain capital funds and set
/9692p.xlsx QAQR-02.xlsx that the firm considers as high risk? Please describe the relevant responses to these risks B1 Who is the ultimate shareholder(s) that have ultimate control of the audit firm, and;? B2
take control over appointment or removal from office of a director of such company; (c) a person who by behavior can take control over a person responsible for policy making, management or operation of
directors and non-executive directors should support proper checks and balances to prevent unfettered power of decision and authority by any one individual, whereby: a) the majority of the board should be
partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors
affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors in the audit firm who has
" electronic possession " OR "electrical ownership " OR "electrical control" OR " digital ownership " OR " digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype https://secsearch.sec.or.th