principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance
-related funds, the maximum tax-deductible amount is capped at 500,000 baht. Individual taxpayers are not required to make contributions every year. Moreover, SSF provides policies allowing the investors
to certain types of personnel; for instance, wealth advisor who gives advice on asset allocation and selects suitable securities for individual client, investment analyst, and fund manager, in
information, it is difficult for investors to analyze and make comparison efficiently. Besides, brokers are increasingly leaning toward investment advisory services, especially those related to asset allocation
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
efficient and effective monitoring process. Along the same line, the inspection results of individual engagements showed promising improvement of audit quality in the capital market, as reflected in the
consultations are performed for difficult or contentious matters? If yes, please describe the responses to quality risks to the following questions. - Have the conclusions reached been implemented? If they were
continuously encouraged and monitored the improvements of both the quality of audit firms and that of individual auditors and we have noted that auditors and audit staff who belong to audit firms with effective
concerning the capital market products set out in item 3.2.1(1). 1 The product contains specific features that are complex and are likely to be difficult for investors to understand and to assess the product’s
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval