implement mechanisms for the supervision of its affiliated and associated companies. These mechanisms must be examined by the holding company’s audit committee and board of directors. Measures ensuring that
for the digital asset operating licenses.SEC examined information of Southeast Asia Digital Exchange Co., Ltd. (SEADEX) and found that SEADEX has been operating a digital asset exchange before the
whose proxy is their custodian that is a local financial institution, listed companies may bypass request for additional ID documents because the custodians must already have examined their clients? ID
or giving any advice to the client, he signed such selling order form in the capacity of an investment consultant. In addition, he neither examined the transaction nor requested for additional
Annual Report 2009 1 Annual Report 20092 Over the past year, the Thai economy experienced a recession for the first time since the Asian economic crisis in 1997. The first quarter saw a 7.1 percent contraction as a result of sluggish export in the midst of global financial crisis, diminishing demand of domestic private sector, and lack of confidence in economic and political directions. All these factors played out against a backdrop of weakening economies of our trade partners worldwide, which...
that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes
………………………………………………………………. (Please specify the inspected ISQC.) (4) Summary of inspection results……………………………………………………… (Please specify risks associated with the non-compliance of the policies, procedures, standards on auditing, the
Firm level………………………………………………………………. (Please specify the inspected ISQC.) (4) Summary of inspection results……………………………………………………… (Please specify risks associated with the non-compliance of the policies
processes in the capital market to work more effectively, decrease the cost in accessibility or the operation of each market participant in each sector also be transparent and able to be inspected, and
.? [The average scores range from 5 (the lowest) to 1 (the highest)]. Major issues found among the inspected audit firms included non-compliance with auditing standards and inefficient work monitoring