can also learn useful tips for managing financial health during Covid-19 situation as well as guidelines for self-adjustment and business planning advice for SMEs after the situation improves. The
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
forthcoming liberalization within five years. Message from the Secretary-General 4 not only empowered businesses but also furthered the moves toward the SEC's much anticipated self- regulation. On social
Statistical Highlights Audit Committee Statement Report on Internal Control over Financial Statements Financial Statements Appellate Committee Arbitrators Sub-committees 2 3 4 6 8 11 21 27 30 34 41 50 58 70 76
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
Appendices Statistical Highlights Report of the SEC Board on Internal Control over Financial Reporting Audit Committee Report Report of the Auditors and Financial Statements Sub-committees Arbitrators 41 50 56
report to the audit committee etc. 16.2 The company provides inspection on compliance with internal control procedures by self-assessment and /or by independent assessment of internal auditors. 16.3
quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best
includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
compliance with applicable laws and regulations. Apart from reviewing the preparation of financial statements, the internal control of such preparation is evaluated while the Control Self-Assessment (CSA) is