333/3 Viphavadi Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel: +66 1207 or +66 2695 9999 Fax: +66 2695 9660 e-mail: info@sec.or.th BU I L D ING BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange Commission, Thailand Contact Information This report is available for download on the SEC website: www.sec.or.th For more information, p...
Microsoft Word - SEA-ÃÒ©ºÑº 6-3-51.doc (Unofficial Translation)* Securities and Exchange Act (No. 4) B.E. 2551 _________________ BHU BHUMIBOL ADULYADEJ, REX., Given on the day of 23rd February B.E. 2551 Being the 63rd Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to amend the law on securities and exchange; Whereas this Act contains certain provision relating to the restriction of rights and liberties of persons wh...
experts 2. Doing educational outreach with the marketplace 3. Collaborating with other investors, companies and advocates 4. Convening summits to identify and reach tipping points 5. Soliciting shareholder
collaboration with all organizations and parties, both at home and abroad, including the public and private sectors, associations, chambers of commerce, non-profit organizations, educational institutions, and
should be prescribed. 4. Criteria for selection of personnel for each unit shall encompass the educational background and related work experience. Such personnel should not have record in violation of the
educational background and related work experience. Such personnel should not have record in violation of the relevant ethics. 5. Having a performance appraisal system of personnel for every unit. 6. The
-Debit Card, K-Home Loan, K-Personal Loan and K-Auto Finance (Refinance) via the K-Payroll 13 Benefits program, the development of educational applications, arrangement of training for university students
issuer's directors and senior management, and any employees such as scientists, researchers or designers upon whose work the issuer is dependent: 1. Name, business experience, educational and professional
Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5 Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval proc...
Activity Report 2016_En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 Executive Summary...................02 Quality Assurance Review Panel................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause Analysis...................42 Framework and Focuses in 2017...................44 Essential St...