matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
SEC Secretary-General Rapee Sucharitkul revealed that “the financial reports are crucial for investors’ investment decision-making. The independence of auditors, which plays an important role in
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies - Inspection - Supervision of those
implementation of good corporate governance to strengthen investors' confidence in securities markets. In 2007, market capitalization of the Stock Exchange of Thailand (SET) totaled at 6,636 billion baht
SMEs fundraising, educating the public on digital assets and self-protection against investment scams. 2) Organizing a provincial seminar on 4 October titled, “SEC Caravan to Udonthani: Driving
to digital assets, build a self-protection mechanism, and keep abreast of frauds and scams on digital asset investments. The learning materials are designed by digital asset experts and presented via
of regulators and to contribute to a culture of compliance by companies, in the interest of protecting investors and creating confidence in markets. It can serve as a basis for reform and self
As a result of the current situation, business operators have to self-adjust in response to technological disruption, the changing environment, and investors’ changing behaviors in order to
the years, which led to otherwise avoidable damages and erosion of confidence in the capital market and the Thai economy as a whole. The SEC, therefore, will continue on with its timely and relentless