criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
build an enterprise architecture that is conducive to cost-effectiveness and overall efficiency.? The MOAs are in line with the SEC mission to supervise and develop a reliable capital market and the LED
SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital
reliable financial reports are prepared by responsible parties will benefit investors a great deal,? Mr. Prakid added.
auditing and reviewing the financial statements, is therefore a key factor in making the financial statements reliable; and when the international standards change, SEC is required to revise the rules