resulting in the low audit quality; and High ratio of listed audit clients to audit personnel, leading to incomplete audit works, inadequate supervision, non-compliance with the firms’ policies and procedures

Special Extension for Approved Status of Auditor, Financial Advisor and Compliance

การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance

leading to lower operating costs. Additionally, the SEC will use RegTech for a better regulatory supervision and place high importance on cyber resilience. Strategy Two: To promote the Thai capital market

regulatory supervision and place high importance on cyber resilience.  Strategy Two: To promote the Thai capital market as an attractive venue for local and regional fund mobilization by streamlining the

corresponding compliance by the derivatives clearing houses with the Notification of the Capital Market Supervisory Board No. Tor Thor. 31/2559 Re: Rules for Operation of Derivatives Clearing Houses dated 3

seriously come into question, especially when it involves those with high-level positions. The SEC, then, prefers that audit firms limit their risk exposures by progressively reducing the extent of personal

Company Limited Factsheet Information as of XX XX XXXX ABCD Mutual Fund Unit Class SRI Fund Class code Type of mutual fund / Peer group of mutual funds Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile

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

fairly at work without discrimination Invitation by SEC to become a WEPs signatory High Level Corporate Leadership Employee health, well-being and safety Community initiative and advocacy Education and