structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial
Act B.E. 2535 (1992) (SEA). The audit committee twice reported that no wrongdoing was found and that the inadequacies in TUCC?s internal control, without any sign of fraud. The SEC probed into the case
interest properly, and prioritize advancing the best interest of clients by identifying potential conflicts of interest in various areas such as the management structure, work system, control and risk
(3) {K}, who neglected inspection and failed to comply with the bank's internal control system, causing the suspicious issues in the dishonest acts to evade inspection. The SEC has therefore banned the
the area of capital market. Furthermore, FAP will give advice, conduct on-site visit and improve their audit quality in accordance with Thai Standard on Quality Control (TSQC 1), Quality Control for
การควบคุมการเข้าถึงข้อมูลและระบบสารสนเทศ (access control) 2.6 การควบคุมการเข้ารหัสข้อมูล (cryptographic control)
website of the SEC Office: (a) certifying that such audit firm has an audit quality control system under Clause 11(1) and giving consent for an inspection of the system by inspectors from the SEC Office; (b
control Q1/2020 Gross Profit The Company and its subsidiaries recorded gross profit of Baht 244 million, an increase of 7% YoY, representing gross profit margin of 20%, growth from 17% in Q1/2019, mainly
professional ethics, the provisions of law relating to auditors, and the SEC regulations. Furthermore, registered auditors shall work for audit firms that have an audit quality control system in compliance with
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or