shall disclose information to clients in accordance with the following criteria: (1) disclose information on risks and characteristics of the bonds by one or more of the following methods: (a) assigning
Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business to give advice pertaining to the bonds thereof, the intermediary shall disclose information to
Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business to give advice pertaining to the bonds thereof, the intermediary shall disclose information to
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...
inspection results of 29 audit firms in the capital market, as can be seen in figure 7, reveal that audit firms in the capital market with quality control system inspection results of “acceptable” to “very
. The 3rd inspection cycle results reveal that the majority of audit firms had already remedied their policies and procedures on relevant ethical requirements in accordance with previous cycle
to strengthen compliance Promote transparency in the initial public offering (IPO) share allocation process ● Required issuers to disclose their allocation methodology and clearly identify in the
Mr. Narin Usanawarong Mr. Narin Usanawarong, as the director responsible for the operation of SS National Logistic Company Limited (SSNL) shall be liable for SSNL’s failure to disclose the
At present, real estate investment trusts (REITs) and infrastructure trusts are asset trusts that only have the legal obligation to prepare and disclose information, but in practice such
Earlier, the SEC instructed EARTH to clarify the information regarding the existence and the fair value of the mining property rights over the two mines located in Indonesia and publicly disclose the