support securities regulators to tackle new challenges and risks. The second FSAP included the assessment of the SEC’s roles and responsibilities regarding transparency, independence, rulemaking procedures
be a qualified person with independence, objectivity and required competency; (3) Update the requirements per current standards and guidelines to be in alignment with international standards and other
ratio) 7 : 1 6 : 1 * ) 12 5. KPMG 2564 Big 4 Independence testing 6. KPMG 2564 Big 4 1 13 7. KPMG 2564* Big 4 (Listed company /partner) 22 2.84 * / portfolio allocation 2 108 / KPMG 2564 54
(staff/ partner ratio) 19 : 1 25 : 1 (staff/ manager ratio) 3 : 1 6 : 1 * ) 11 5. EY 2563 - 2564 Big 4 Independence testing 6. EY 2563 Big 4 1 12 7. EY 2563* Big 4 (Listed company /partner) 3.983 2.84
do not override the quality of the work performed and the independence of the firm and its personnel. 11 Describe how the firm reviews and updates the Quality control policies, procedures, and
products that are essential in modern life and has been recognized for their market leadership and product innovation. The business comprises of eight production assets in the US, Europe and China, with a
. 38/2553 Rules for Custody of Customer Assets and Essential Details of Custody Agreement (Synopsis) 15/09/2010 01/10/2010 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi
has been established. 2. Preparation and submission of the pooled fund data report to the SEC The AMCs would be required to prepare and submit the pooled fund data report on the essential information
financial frauds and scams, in new and old forms, is also essential. Insightful investment knowledge will help investors take precautions and protect themselves from falling victim to those fraudsters and
remuneration, financial disclosure, the behaviour of institutional investors, boardroom practices and the functioning of stock markets. Sound corporate governance is an essential element for promoting capital