Activity report 2017En CAPITAL MARKET FOR ALL INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 Executive Summary Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Framework and Focuses in 2018 Root Cause Analysis Summary of Audit Inspection Results A. Firm Level B. Engagement Level Essential Statistics 49 4412 46 0402 07 Contents Executive Summary The capital market is a fundamental component in driving Thai...
branch office has had inappropriate manner as follows: (1) doing business in a manner which may cause damage to its clients; (2) undertaking operation in a manner which may cause disgrace to the reputation
Office that such branch office has had inappropriate manner as follows: (1) doing business in a manner which may cause damage to its clients; (2) undertaking operation in a manner which may cause disgrace
are appeared to the SEC Office that such branch office has had inappropriate manner as follows: (1) doing business in a manner which may cause damage to its clients; (2) undertaking operation in a
are appeared to the SEC Office that such branch office has had inappropriate manner as follows: (1) doing business in a manner which may cause damage to its clients; (2) undertaking operation in a
Notification or the regulations and guidelines specified by the derivatives broker to comply with this Notification, or has inappropriate behaviors while acting as derivatives broker , the SEC Office may
broker to comply with this Notification, or has inappropriate behaviors while acting as derivatives broker, the SEC Office may instruct such person to take corrective action, or act or omit from any act to
broker to comply with this Notification, or has inappropriate behaviors while acting as derivatives broker, the SEC Office may instruct such person to take corrective action, or act or omit from any act to
for preventing and suppressing unfair acts related to derivatives and inappropriate derivatives trading behavior, which shall meet at least the following requirements: (1) establish the rules that
investment strategy. The investment strategy and themes discussed herein may be unsuitable for investors depending on their specific investment objectives and financial situation. The information in this