customer identity, banks must perform the following actions: (1) Face-to-face identity verification: Banks must use data from reliable sources. For instance, they must check data from a smart card reader or
Issued Shares (No. 3) dated 29 June 2017 (effective on 16 July 2017). 7 (b)4 the following financial statements of the applicant and its consolidated financial statements shall be correct, reliable and in
guidelines of financial advisor which are precise, reliable, secure and sufficient to ensure that the functions of financial advisor shall be performed in accordance with the professional standards and ethics
333/3 Viphavadi Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel: +66 1207 or +66 2695 9999 Fax: +66 2695 9660 e-mail: info@sec.or.th BU I L D ING BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange Commission, Thailand Contact Information This report is available for download on the SEC website: www.sec.or.th For more information, p...
value-added and reliable to their users. From the evaluation result in the 3 cycle inspection, it is found that most of the audit firms continuously exercised more improved human resources management
reliable financial reporting is a result of a balanced financial reporting ecosystem. The SEC therefore emphasizes capacity building of stakeholders in the ecosystem, e.g., auditors, preparers, audit
MANAGEMENT Co., Ltd. to waive a switching fee for mutual fund investment in order to encourage customers to switch their investment to new funds that focus on risk diversification and are resilient in the face
: Resilient Adaptation to Increasing Risk. Washington, DC: US Army Corps of Engineers เกณฑ์โครงสร้างพ้ืนฐานในการบริหารจัดการน ้าตามมาตรฐานตราสารหน้ีว่าด้วยการเปล่ียนแปลงสภาพภูมิอากาศ - เอกสารเกณฑ์ หน้า 11 3.2
pass this test and strive forward to deliver material and measurable accomplishments. As the market regulator, the SEC shall proceed to secure investors' confidence, build efficient and reliable markets
effectively and the SEC operation is transparent and reliable, the SEC Board has appointed the Audit Committee to function as the checks and balances mechanism with the Internal Audit Department supporting the