assess their investment risk. To ensure that investors have sufficient information for their investment decision while issuers are not given unnecessary burden in mobilizing their funds, the SEC has sought
audit firms and auditors in order for them to alleviate their deficiencies successfully in the future. By performing root cause analysis, the SEC found that some audit firms were unable to alleviate their
services used, names of the service providers, and statistics of votes exercised using proxy or advisory services. Principle 5.6 Institutional Investors should disclose their approach to stock lending and
securities business licensees from including in their names the words ?securities company limited.? The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
-- DRAFT Principles -- (Unofficial Translation) PAGE (Unofficial Translation) - 2 - Readers should be aware that only the original Thai text has legal force and that this English translation is
-- DRAFT Principles -- (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand
Microsoft Word - STNYKhor 3_2550_final.doc (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
quality objective as mentioned in TSQM1 and 2? If not, please provide the details of the minimum objectives that are absent and describe any reasons for their absense. 1.2 Does the audit firm completely
audit committees to discharge their duties more efficiently. There will be more support on the strengthening of proficiency and competency of the listed entities’ internal auditors as well. These are part