to the SEC Office together with the application within the specified period of preparation and submission imposed on listed companies. (c) having work experiences in any of the following areas: 1
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...
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...
Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to economic development while improving the quality of life of the workforce and their families as well as of the local community and society at large. (WBCSD Stakeholder Dialogue on CSR, The Netherlands, Sept 6-8, 1998) C o n t e n t s Corporate Review Capital Market Review Action Plan and Events Achievemen...
currently under consideration of the Fiscal Policy Office, Ministry of Finance. Strengthening supervision and corporate governance To enhance investor protection and confidence, the SEC imposed a number of
, securities company, Securities Exchange, over-the-counter center, organization related to securities business or information relating to any violation and penalty imposed on the violators, including any other
the intermediary ; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution clients which open an account or make transactions with the intermediary
client or the ultimate beneficiary to identify oneself to the official of the intermediary; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution
clearing house shall disclose information about securities clearing and settlement, its members, breaches committed by its members, and punishment imposed on its members, as well as any other information