ที ่1 : บทน า โดยท่ีส านกังานมีนโยบายส่งเสริมบทบาทการปฏิบติังานของหน่วยงานก ากบัดูแลการ ปฏิบติังานของผูป้ระกอบธุรกิจในตลาดทุน (“compliance”) เพื่อยกระดบัความส าคญัของวชิาชีพดงักล่าว และท่ีผา่นมาส า
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
rise from the end of 2011. The positive SET Index and market capitalization reflected local and international investors’ confidence in the Thai capital market as well as the robustness and attractiveness
and its auditors to the non-compliance risk regarding the auditor rotation requirement • Concerns and th rea ts to independence due to familiarity may result in the negligence of compliance with
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re
mutual fund in compliance with the accounting standards prescribed by related regulations on accounting. The financial reports must be audited and given opinions by the auditors who has been approved by
prescribing guidelines for compliance with the Notification of the Securities and Exchange Re: Rules, Conditions and Procedures in Filing of Annual Financial Statements and Preparation of Reports of the Stock
compliance with the Notification on Connected Transactions. The Board of Directors resolved to propose the matter at the Extraordinary General Meeting of Shareholders in order to seek confirmation from the