their duties to the fullest extent. Throughout 2019, the SEC organized training sessions and seminars on emerging issues with significant changes to stakeholders at all levels, e.g., executive officers of
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
60.99 percent of total value of consideration paid or received (in case of investment disposal to the extent that a subsidiary or affiliate no longer viable) based on the audited financial statement as at
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are not in conflict with or contrary to the provisions of this Notification until
remain in full force to the extent that they are not in conflict with or contrary to the provisions of this Notification until notifications, orders and circulars issued under or prescribing guidelines for
dated 3 August 2009 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are neither inconsistent with nor contrary to the
Fund Management Company dated 3 August 2009 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are neither inconsistent with nor