Appointing Independence Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver of Appointing Independence Director of
concerning Rules on Rendering a Waiver of Appointing Independence Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver
rendered a waiver of appointing an independent director under the Notification of the Office of the Securities and Exchange Commission concerning Rules on Rendering a Waiver of Appointing Independence
member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties
directors? independence; 2) CSR in process: operating normal course of business with social and environmental responsibility while balancing stakeholder needs; 3) Anti-corruption in practice: being a role
เกี่ยวข้องและการควบคุมการเข้าถึง ข้อมูลผู้ถือหน่วยลงทุนและข้อมูลการลงทุน (preservation of confidentiality) ( (5) วิธีการในการรับเรื่องร้องเรียนของผู้ถือหน่วยลงทุน รวมถึงการดำเนินการและ ระยะเวลาในการดำเนินการ
experiences in the following topics: Measures to maintain clients’ confidentiality and the audit of securities investment of staff of audit firms in the capital market. Guidelines on audit of transactions
whether or not the company (and its management) have complied and, if not, the extent of, and reasons for, non-compliance. (i) Governments in each country should adopt measures to ensure the independence
support securities regulators to tackle new challenges and risks. The second FSAP included the assessment of the SEC’s roles and responsibilities regarding transparency, independence, rulemaking procedures