matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
SEC Secretary-General Rapee Sucharitkul revealed that “the financial reports are crucial for investors’ investment decision-making. The independence of auditors, which plays an important role in
amendment include creation of preventive mechanism against conflicts of interest, selection of intermediaries to support offer for sale of mutual funds of different types that would serve different target
compliance with all relevant and applicable law and standards. (4) Review internal auditor’s independence, and approve the appointment and termination of the head of the internal audit function. Outsourcing
on related party transaction. Audit committee shall have independence as basic qualifications as required by the SET notification, meaning that audit committee shall be independent director. Q: Can
of compliance and ethical conduct, and lead by example. c) Strengthening an effective board structure and practices conducive for achieving the company’s objectives. d) Ensuring suitable CEO selection
interest that did occur. Example 4 : The confirmations of independence and written conflict of interest declarations did not cover staff’s family and did not provide guidance to staff through examples of
Governance Attributes Board Committee Characteristics 1) Board Size 2) Board Independence 3) Board Duality 4) Board Meeting Audit Committee Characteristics 1) Audit Committee Size 2) Audit Committee Expertise
selection of debt instruments before investing in the debt instruments. SEC Act S.283 paragraph 1 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 10/2020 Dated 13/03/2020
, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by by failing to put in place a sufficient and effective system for the analysis and selection of debt instruments