potential performance and risks (e.g. hedge funds, hybrid securities, structured products, investment units of a mutual fund of which the returns calculation is made in a complicated way (complex return fund
instigator or an abettor, etc.; (5) the complicated nature of the act or the tool used in committing such act, such as using a disguised name of other person or establishing a company for concealment, etc.; (6
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...
further improvements in the legal framework in relation to (1) business merger and acquisition in which complicated and time consuming process is currently involved, (2) civil sanctions to become an
respective markets toward sustainable growth. The SEC also rendered stronger cooperat ion with the ASEAN in developing working systems of respective markets toward the same direction to streamline complicated
not be complicated or costly for shareholders, and the meeting location to be easy to reach. 1.4 The board should allow shareholders to send their questions to the company prior to the 63Section 1
, the audit firms should always consider fundamental factors, such as audit partner’s capabilities and experiences. During the 2015 audit inspection, the SEC found that complicated audit engagements of
of fast-changing cyber threats that are always becoming more diverse and more complicated. Reinforcing a cyber risk-aware culture that involves the Board of Directors and high-level management
Thailand Taxonomy Board The Thailand Taxonomy Board is established to develop Thailand Taxonomy, a classification system of economic activities deemed as environmentally-sustainable. The Board comprises agencies from both the public and private sectors to ensure all sectors’ views are reflected. In the initial phase, the list of agencies is as follows: 1. Bank of Thailand (BOT)* 2. The Securities and Exchange Commission, Thailand (SEC)* 3. Office of Natural Resources and Environmental Policy and...
Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to economic development while improving the quality of life of the workforce and their families as well as of the local community and society at large. (WBCSD Stakeholder Dialogue on CSR, The Netherlands, Sept 6-8, 1998) C o n t e n t s Corporate Review Capital Market Review Action Plan and Events Achievemen...