investment analyst, as the case may be. In this regard, such personnel shall obtain an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board regarding Rules
their responsibilities; **(6) having personnel to be investment consultant, investment planner or investment analyst, as the case may be. In this regard, such personnel shall obtain an approval from the
offer for sale of baht bonds, the foreign entity issuer must obtain an approval and adhere to the obligations specified by the Ministry of Finance. However, given the changing contexts and landscape of
Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...
obtain sufficient appropriate audit evidence in relation to investment in Smart Traffic Co., Ltd., an associated company of EIC, impairment loss of investment and share of loss of such associated
unable to obtain sufficient and appropriate audit evidence with respect to valuation of investment in PT Sunhub Mining International (SMI), an associated company, and share of loss of investment in SMI
and Q1/2014 financial statements respectively due to limitation on their scope of audit/review. Accordingly, the auditors were unable to obtain sufficient and appropriate audit evidence with respect to
impairment of assets. In addition, the auditor was unable to use other means to obtain sufficient appropriate audit evidence on the matters. The SEC therefore instructed STHAI to rectify 2012 financial
personnel while some of the existing capital market personnel will be required to obtain the SEC approval with a view to enhancing supervisory efficiency.The consultation paper is available on www.sec.or.th
results Sort by: Relevance Date (Newest) Date (Oldest) QAQR-06.xlsx institution, insurance, construction, digital assets ) obtain/maintain the required specialist knowledge? Does the firm have special