to strengthen reliability and linkage among the ASEAN capital markets, promote the ASEAN Brand as a world-class product, enhance compliance with the international disclosure standards as well as expand
recurring practical issues, and complex or newly-issued financial reporting standards. This is to support the stakeholders’ preparation before such standards become effective and subsequent proper compliance
to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance with the ISQM 1. 2.8.2 Checking whether applicant's
, b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance with the
, operational management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives
management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives business
management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives business
หรือผู้ปฏิบัติงานที่มีหน้าที่ควบคุมดูแล เช่น กรรมการ ผู้จัดการ ผู้จัดการสาขา Head Front/Back/Risk/Compliance Fund Manager เป็นต้น 3. หลักการลงโทษผู้บริหาร ใช้หลักการเดิม โทษของผู้บริหาร สูงกว่า โทษของ
company under Clause 3 shall be given an exemption from appointing an independent director upon compliance with the following rules: (1) Being able to demonstrate that it has a supervision policy of the
company under Clause 3 shall be given an exemption from appointing an independent director upon compliance with the following rules: (1) Being able to demonstrate that it has a supervision policy of the