Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For more information, please contact us at: Securities and Exchange Commission,Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel : +66 2 263 6082 or +66 2 263 6218 e-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to...
audit work done by the other firm that includes as a part of the engagement such as subsidiary and associate? Please describe B Supervision and review responsibilities: 5 Has the firm established policies
period of last year, due to additional administrative expenses from expanding in 2nd production line was done in the end of 3 th quarter, lead to decreasing in administrative expenses. Financial cost on
transactions to be easily done through internet effectively, crowdfunding has therefore become popular with continuous growth over the years as a viable funding option for SMEs and startups worldwide
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
Decree on Digital Asset Businesses, B.E. 2561. The regulation will come into force since 16 July 2018.Since the royal decree stipulates that the issuance of ICO must be done only through ICO portals
doing so, methods used must be done with speed, transparency, low costs with participation from all related parties.
to comply with investors’ orders. In the event that such compliance cannot be done, investment consultants must inform investors immediately and must not make a trading decision without investors
burdens on people. By doing so, methods used must be done with speed, transparency, low costs with participation of all related parties. ** A preferential public offering (PPO) is a general offering of
keep pace with situations or remain obstacles to living or occupations will be abolished or revised to lessen burden on people. By doing so, methods used must be done with speed, transparency, low