Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparer and Plan Administrator
Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparer and Plan Administrator
Bangkok, July 21, 2015 ? The SEC has driven forward the plan to develop financial reporting ecosystem to promote financial statement quality and increase the number of auditors to support the growth
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
mentoring system and trainings. 4.5 The company has a succession plan for important positions. 5. The organization hold personnel accountable for their internal control responsibilities in the pursuit of
decreased 9%. 2. Cost and expenses for the six-month period of 2017 was Baht 421.83 million increased by 6% compared to the same period of last year since the group compensated a voluntary resignation plan to
remediation plan to prevent recurrence of similar incidents. In any case, the detected deficiencies will be considered in detail when the SEC reviews KPMG’s audit quality control system
operators in the capital markets who plan to apply fintech must comply as follows: (1) Set a policy on fintech application at board or executives level; (2) Have personnel understand the basic
the securities business operators. The proposed guidelines and this public hearing will be presented to securities business operators who plan to apply fintech in the capital markets must comply as
comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system