examination of the overall financial position and risks of members, which at least regularly evaluates and monitors their financial position, financial stability, and risk management systems, and shall

of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of

สอบบัญชี (inspection report) ให้แก่สำนักงานสอบบัญชีอย่างสม่ำเสมอ เพื่อให้สำนักงานสอบบัญชีนำรายงานดังกล่าวไปพัฒนาคุณภาพงานสอบบัญชีให้ดียิ่งขึ้น ปัจจุบันผู้มีส่วนเกี่ยวข้องกับกระบวนการจัดทำรายงานทางการ

August 11-13, 2004. The Securities Analyst Consultative Committee, after its scrutiny process, concluded that Ms. Ratanatavananananda did not have any intention to manipulate SCIB-C1 price but failed to

will become effective only after securities issuers or their financial advisors have filed complete and finalized material information with the SEC for public scrutiny for 14 consecutive days. The

rehabilitation plan by January 12, 2009 for the CMSB?s scrutiny. ?With the TSFC board?s decision to enter into the rehabilitation process so as to solve the company?s financial difficulties, the SEC deems it

of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5

. (UNOFFICIAL TRANSLATION) (Revision 2015) Table of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control

matters: (1) business continuity management, as detailed in Part 1; (2) review, monitoring, and examination of computer systems relating to clearing, settlement, and depository services with respect to

inspection to the SEC Office and the auditor within thirty days since the date of notification from the auditor in case that the auditor discovers any suspicious circumstance that the director or executives of