ensure business continuity and prevent damage caused by deficient information security ?Currently, operating business of listed companies no longer deals with economic prosperity alone. Rather, managing

opinion. After analyzing the root cause of these deficiencies, the SEC believes that they were caused by inadequate and/or inappropriate risk assessments during the audit planning stage. Therefore, it is

) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties

problem of inadequate retirement savings in Thai society. SEC would like the PVD to sustainably grow,  which needs the collaboration among sectors, including the PVD members, who are employees in

capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of being punished or legally proceeding against for management in the

net profit in Quarter 1/2018 was 1.91 million baht because the lacking of the main raw material that have the affect on products cannot send to the clients in time. But the expenditures are decreased in

and {A} failed to perform duties of independent financial advisor for the IPO applicant with due care, causing deficiencies in the following matters:  (1)  deficient due diligence on a transaction of

from being capital market personnel and considered lacking trustworthy characteristics of directors and executives of issuing companies. Thus, the SEC revoked the approval as securities investment

× Individuals underestimate their life expectancy × Not many aware of longevity risk × Lacking of popularity and choice of annuity products 22 23 The Alpha Spectrum 24 Asset Location 25 Asset Location and

any risks arising from an appointment of any persons lacking qualifications or possessing prohibited characteristics.