A CRA should ensure that sufficient employees and financial resources are allocated to monitoring and updating all its credit ratings. Except for a credit rating that clearly indicates it does not
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
, the collection rate has therefore clearly increased. 1Q/2018 2Q/2018 3Q/2018 4Q/2018 Pass (Normal and X Day) 96.93% 96.68% 96.52% 96.94% Management Discussion and Analysis (MD&A) for the year of 2018
a clearly statement that the securities company is not allowed to give an advice concerning securities investment to customer. Clause 8. The securities company shall appoint a person responsible for
online branch office is not allowed to give an advice concerning securities investment to customer. The securities company shall arrange to have a clearly statement that the securities company is not
derivatives contract to customer. The derivatives broker shall arrange to have a clearly statement that the derivatives broker is not allowed to give an advice concerning derivatives contract or suitability of
an advice concerning derivatives contract or suitability of trading in derivatives contract to customer. The derivatives broker shall arrange to have a clearly statement that the derivatives broker is
made under the requirements of the repurchase transaction. In proceeding to comply with Paragraph 1, derivatives broker shall clearly specify in such deposit account or investment that the undertaking by