INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
1 เลขที ่1 อาคาร ทีพี แอนด์ ที ชัน้ 14 ซอยวิภาวดีรังสิต 19 14th Floor, TP&T Tower 1 Soi Vibhavadee-Rangsit 19 Tel : (662) 936-1661-2 แขวงจตจุกัร เขตจตจุกัร กรุงเทพฯ 10900 Chatuchak, Chatuchak, Bangkok 10900, Thailand Fax : (662) 936-1669 ทะเบียนเลขที่ 0107554000097 Registration No. 0107554000097 HYDROTEK PUBLIC COMPANY LIMITED บริษทั ไฮโดรเท็ค จ ำกดั (Translation) No. 024/0461 April 4, 2018 Subject Notification of the Board of Directors No.6/2018 Re: Convening the Extraordinary Shareholders’ Mee...
determination of shareholders who shall be entitled to attend the Extraordinary General Meeting of Shareholders (Record Date) and to amend or change the date to gather the names of shareholders as it deemed
’s Agenda, and/or change of the determination of shareholders who shall be entitled to attend the Extraordinary General Meeting of Shareholders (Record Date) and to amend or change the date to gather
or documents given by a client, the intermediary shall review and update such information without delay by taking the following actions: (a) gather and recheck information in addition to the normal
actions: (a) gather and recheck information in addition to the normal course of operation; (b) seek information on the source of income used for executing the client’s transactions; (c) arrange for the
under the first paragraph shall be in compliance with the rules as specified in the notification of the SEC. 18 SECTION 73 The SEC Office shall gather the facts relating to the commission of an offence
73 The SEC Office shall gather the facts relating to the commission of an offence which falls under the administrative sanctions and shall also have the power to exercise an initial consideration in
appointment of panelists under the first paragraph shall be in compliance with the rules as specified in the notification of the SEC. SECTION 73 The SEC Office shall gather the facts relating to the commission