conforming to the principle of Clause 30 and Clause 38 of the Notification on Standard Conduct of Business . Clause 29 The following products shall be deemed as risky or complex capital market products: (1
capital market products to clients, an intermediary shall comply with the rules prescribed under this Chapter in addition to the general rules so that the provided services thereof are still in conforming
client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions (if any), as
interest for a client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions
interest for a client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions
interest for a client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions
exempted from registering with individual auditor regulators of EU countries. The confidence gained from practices and supervision conforming to international accepted standards enhances the competitiveness
Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For more information, please contact us at: Securities and Exchange Commission,Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel : +66 2 263 6082 or +66 2 263 6218 e-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to...
Activity Report 2016_En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 Executive Summary...................02 Quality Assurance Review Panel................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause Analysis...................42 Framework and Focuses in 2017...................44 Essential St...