not overlap duties of the management or the requested information should not be excessive.   Q: Prior proposing to the board, shall the company has approval from audit committee in case it applies for a

supervision and risk assessment of intermediaries and the monitoring of industry development, to prevent excessive burdens on securities and derivatives intermediaries.The proposed revision covers the reporting

within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision

qualified opinions due to limitation on scope of audit imposed by the company management. EIC must submit to the SEC and publicly disclose the rectified and audited/reviewed financial statements urgently. The

Bangkok, June 6, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its 2013 and Q1/2014 financial statements due to limitation on auditors? audit/review scope, respectively. VTE is

 Bangkok, May 27, 2014 ? The SEC notified Shun Thai Rubber Gloves Industry Plc. (STHAI) to rectify its 2012 financial statements due to limitation on scope of audit imposed by the company management

Exchange Commission of Cambodia, and executives from the Cambodian Stock Exchange and securities companies during their visit to study the scope of work related to depository receipt (DR) and share views

Bangkok, June 2, 2014 ? The SEC notified Professional Waste Technology (1999) Plc. (PRO) to rectify its Q1-3/2012 financial statements due to limitation on scope of review imposed by PRO management

Exchange Commission Example 3 : Risk assessment did not cover significant issues such as the business background of the board and shareholders, indicator of limited scope, the engagement team’s competency

auditors were unable to express opinions due to limitation on scope of audit imposed by the companies? managements. AIE and AI must submit to the SEC and publicly disclose the rectified and audited 2014