Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment

and enforcement. F. Cross-border co-operation should be enhanced, including through bilateral and multilateral arrangements for exchange of information. High levels of cross-border ownership and trading

-time or part-time auditors and individuals in the service delivery center) 3 Does the firm always acquire satisfactory references when engaging senior and high-level audit staff? 4 Does the firm examine

, the Master Plan stresses the promotion of the supply of high quality products. A key initiative in this area, deriving from the government’s privatization policy, has been the promotion of initial

million baht respectively. Accordingly, buying volumes of domestic institutional investors were partly from the establishment of new 40 equities mutual funds. High level of confidence among domestic

level of examination strictness increases according to the higher level of risk. In case of non-compliance with the above measures, the SET has the power to impose penalties. Moreover, in cases where

weighted average scores for each TSQC1 element from the first-cycle and the second-cycle of firm-level inspections The SEC found that the audits of listed companies’ financial statements were of high quality

Audit Committee Board of Directors and Audit Committee have examined together that in the past 1-2 years, the joint venture company has lost operating results. One of the reasons is high interest expense

Committee and Audit Committee Board of Directors and Audit Committee have examined together that in the past 1-2 years, the joint venture company has lost operating results. One of the reasons is high

region.?? ------------------Notes: 1. The ASEAN Capital Markets Forum (ACMF) is a high-level grouping of ASEAN securities regulators established under the auspices of the ASEAN Finance Ministers in 2004.2