business efficiently. Such personnel must possess suitable knowledge, competency, and experience, as prescribed in Clause 8 and Clause 10 of the SEC Notification No. Kor Thor. 19/2561; (3) Establish a
business operations. Such personnel must have appropriate knowledge, competency and experience in accordance with Clause 8 and Clause 10 of the SEC Notification No. Kor Thor. 19/2561; and (3) Rectify the
(1) การประเมินความรู้ความสามารถในการลงทุน (“knowledge assessment”) ของลูกค้า มีวัตถุประสงค์เพื่อเป็นเครื่องมือเสริมให้คนขายสามารถให้คำแนะนำการลงทุนแก่ลูกค้าได้อย่างเหมาะสม
to acquire knowledge about accounting practices related to the company. 6 Reasons of Adjustments as Compare to Singapore Auditors provide a reason for each adjustment transaction. The major reasons are
quality of audit and audit inspection among the ASEAN region. Additionally, the SEC has co-operated with the financial information disclosure regulator in Singapore and Malaysia to exchange knowledge
(1/2) of Section 21 of the Securities and Exchange Act B.E. 2535: “(1/1) not reaching the age of sixty years on the appointment date; (1/2) having knowledge, capabilities and expertise on capital
at least three persons and at least one person must have adequate knowledge to review the reliability of financial statements. The scope of power and duties is clearly specified. Directors
knowledge and ability to proceed with the class action case without a conflict of interest with members of the class, and he or she can pay the advance payment for the procedure of class action. 5. Lawyer Fee
September 2010. The IFIAR accedes to the SEC participation and contribution in terms of global audit regulatory developments and opportunity to share insights, knowledge of audit market environment and
○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ Financial literacy promotion The SEC uses different tools to promote financial literacy of investors and the public, especially in the areas of knowledge on rights and duties of stakeholders, products and