, resulting in fewer deficiencies detected. There are, however, other areas in which further improvements are warranted such as audit planning and risk assessments, audit procedures in response to fraud risk
; “ capital market product having high-risk or complex characteristics ”5 means the following capital market products: (1) investment units having high-risk or complex characteristics including: (a) investment
Loan of Financial Institutions Act B.E. 2523 (1980), except as specified in Chapter 7; “capital market product” means securities and derivatives; “capital market product having high-risk or complex
esthetics. 2. Overview of operating results in the Quarter 1’2019. From 2018 to the first quarter of 2019, the global economy still has risk factors from international political and economic tensions
the capital market were taken care of to ensure that they would be able to continue functioning seamlessly. In this regard, building a quality financial reporting system in compliance with international
The SEC encourages its inspectors to continue their professional development by providing internal and external training with excellent support from the World Bank. The inspectors have been trained in
corporate governance practices in line with international standards. We are truly delighted that Thai listed companies continue to progress in their practice, making Thailand the country with the most
their investment money plus benefits. Afterward, they repeated the same method by persuading the clients to continue investing in order to seek unfair personal gains all over again. In addition, some of
confidence. There is also expansion in government expenditure or public investment from infrastructure investment. However, Thai economy still facing external risk such as U.S. monetary and trading policy
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of