สิ่งที่ส่งมาด้วย 3_ตัวอย่างแบบฟอร์มการประเมินความรู้ความสามารถในการลงทุน (knowledge assessment) สำหรับการลงทุนในผลิตภัณฑ์ในตลาดทุนที่มีความเสี่ยงสูงหรือมีความซับซ้อน
Bangkok, June 5, 2015 ? SEC Secretary-General talked strategy and vision, emphasizing on understanding business and improvement of ecosystem where regulations are practical and developed from the
, social and environmental responsibility, including “human rights and equality”, in which businesses in the capital market have showed continuous improvement. The practice is in accordance with the
announced by TRIS Rating. The second study revealed certain factors indicating significant turnaround financial determinants in cases of securities on turnover list, providing recommendations for improvement
Bangkok, May 27, 2014 ? The SEC revealed audit inspection results on eight audit firms; citing all of them met quality requirements. The result, however, showed room for improvement in the area of
currently acting as Personal Data Protection Commission (PDPC) and SEC to develop knowledge in this area and build up the better understanding and practice. The successful outcome thereof has been
of Frauds Whereas the audit committee, the independent directors and the executives of listed company play an important role in promoting good corporate governance, driving the improvement of financial
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Analyst on Technical Factors No. Work Experience/ Relevant Knowledge Qualifications Work Experience Related to
. The SEC also encouraged audit firms to prepare for compliance with the International Standard on Quality Management 1 to drive the improvement of the quality control system of audit firms in the capital
firms demonstrated an improvement vis-à-vis the results from the previous inspection cycle. Such improvement was undoubtedly enabled by the formulation of audit firms’ root cause analysis process and