the public hearing on the proposed amendments to the regulations and the concerns raised by asset management companies in the focus group meeting held in October 2020. To this extent, the SEC amended
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
and closures that may be imposed for spikes in occurrences of the virus and the extent to which any such measures could be implemented remain uncertain, including whether any more temporary or permanent
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...
difference in the procedures to the extent that it will not materially change the work system and personnel provided in the application; (2) the rules and regulations of the derivatives exchange necessary for
whether or not the company (and its management) have complied and, if not, the extent of, and reasons for, non-compliance. (i) Governments in each country should adopt measures to ensure the independence
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is