DSI for its consideration to take further legal action. The allegation shows that the accused are considered to be untrustworthy to perform duties as directors and executives of a securities issuing
incurred the total damage of 6.95 million baht onto the investor. SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was
, that audit quality will not be compromised as the SEC will require both groups of auditors to work for audit firms that perform and equip with quality assurance system in compliance with professional
, therefore, bars {D} from re-entry capital market business for two years and eight months, starting from 18 December 2020. During this period, {D} will not be able to perform duties as a branch manager or
particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval
investment decision of the public, appraisal requires a knowledgeable, capable and responsible person to perform. The SEC have stipulated the undertaking of the asset appraisal by an appraisal company whose
criminal complaint is merely the commencement of the criminal procedure whereby the inquiry official will perform an investigation before recommending the case to the public attorney who has authority for
the firm assures that all staff has sufficient accounting and auditing knowledge enough to perform their audit work? 12 Does the firm conduct significant amount of in house training? 13 Does the firm
) Requiring the trustee to perform additional duties. For example, monitoring and overseeing the issuer’s asset management according to the governing regulations. In this regard, the trustee must be well
หลักการ กำกับดูแลกิจการที่ดี สำหรับบรษัทจดทะเบียน ป 2560 Corporate Governance Code for listed companies 2017 ปกหนาสัน สารบัญ หน้า บทนา 1. วัตถุประสงค์ของหลักการกากับดูแลกิจการที่ดีฉบับนี้ (Corporate Governance Code: CG Code) 3 2. การกากับดูแลกิจการที่ดี คืออะไร 4 3. CG Code นี้ มีสาระสาคัญอย่างไร 5 3.1 หลักปฏิบัติ 8 ข้อหลัก 5 3.2 การปฏิบัติตาม CG Code 6 3.3 การอธิบาย เมื่อไม่ได้นาหลักปฏิบัติไปใช้ 7 4. CG Code นี้ ต่างจากหลักการกากับดูแลกิจการที่ดี สาหรับบริษัทจดทะเบียน ปี 2555 อย่างไร 7 5. การ...