Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best
auditor: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating
: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating
forthcoming liberalization within five years. Message from the Secretary-General 4 not only empowered businesses but also furthered the moves toward the SEC's much anticipated self- regulation. On social
drill exercise is conducted to raise employees’ awareness of the phishing threat. Preparation for Basel regulatory reform: KBank continuously monitors Basel regulatory changes and the Bank of Thailand’s
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
encourage customers to conduct transactions at self- service machines. For the greater convenience of our foreign clients, various languages are available at ATM machines. At the same time, we prioritized
reporting process toward a higher quality. In the preceding years, the SEC mobilized various initiatives to support the preparers in building self- discipline and the understanding of appropriate and
to ensure a healthy environment for new product launch without unnecessary regulatory blockage, (2) promoting the roles of the Thai Bond Market Association (ThaiBMA) as a primary self-regulatory