Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
yet recovering. The high liability affected the expense atmosphere to be sluggish. Cost of goods sold was 167.05 million Baht, it has reduced by 3.57 million Baht or equivalent to 2.09%, compared to the
-time or part-time auditors and individuals in the service delivery center) 3 Does the firm always acquire satisfactory references when engaging senior and high-level audit staff? 4 Does the firm examine
level of examination strictness increases according to the higher level of risk. In case of non-compliance with the above measures, the SET has the power to impose penalties. Moreover, in cases where
returns by taking on more market risk deliver less risk- adjusted returns on average. This result echoes the stock-level finding by Saengchote (2017) that Thai stocks with high betas tend to have low alphas
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission
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
Audit Committee Board of Directors and Audit Committee have examined together that in the past 1-2 years, the joint venture company has lost operating results. One of the reasons is high interest expense
Committee and Audit Committee Board of Directors and Audit Committee have examined together that in the past 1-2 years, the joint venture company has lost operating results. One of the reasons is high
region.?? ------------------Notes: 1. The ASEAN Capital Markets Forum (ACMF) is a high-level grouping of ASEAN securities regulators established under the auspices of the ASEAN Finance Ministers in 2004.2