the Office of the Securities and Exchange Commission concerning Granting of Approval of Financial Advisor and Scope of Work, and monitor, supervise and give advice to 17 the applicant regarding

accordance with the first paragraph shall be specified by the SEC. SECTION 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning

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...

Activity Report 2016_En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 Executive Summary...................02 Quality Assurance Review Panel................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause Analysis...................42 Framework and Focuses in 2017...................44 Essential St...

: “SECTION 19. The Office has the power and duty to: (1) perform any act for the implementation of the SEC’s resolutions; (2) supervise compliance and enforcement of law against any person violating the

Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the Organisation or of the governments of its member countries. This document and any m...

Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand January 2013 Acknowledgements This assessment of corporate governance in Thailand has been prepared by David Robinett, Ratchada Anantavrasilpa, and Catherine Hickey of the World Bank Global Capital Markets Practice, as part of the Reports on Observance of Standards and Codes Pro...

เหตสุมผล • การเลอืกปฏบิตั ิ (Discrimination) 5) แนวทางการบรหิารจัดการผูม้สีว่นไดส้ว่นเสยี (Stakeholder Engagement) - ความพรอ้มของบรษัิทจดทะเบยีนฯ ในการ สือ่สารและบรหิารจัดการผูม้สีว่นไดส้ว่นเสยีอยา่งมปี

เด็ก • การกําหนดคา่ตอบแทนดว้ยความเทา่เทยีมและสมเหตสุมผล • การเลอืกปฏบิตั ิ (Discrimination) 5) แนวทางการบรหิารจัดการผูม้สีว่นไดส้ว่นเสยี (Stakeholder Engagement) - ความพรอ้มของบรษัิทจดทะเบยีนฯ ในการ สือ่

supervise and ensure fair treatment for retail and SME customers will pose a heightened challenge to banking performance. To cope with these issues, commercial banks may have to fine-tune their strategies