financial situation, ownership and governance of the company. (ii) Regulators and companies should continue to use the opportunites created by new technologies to enhance the fairness and efficiency of the
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...
responsibility and deliberation as a professional and treating each investor with fairness, carefulness and circumspection by taking into account the interest of investors at most; (3) performing duties in
unlawful gains for himself or another person and causes damage to Solaris Asset Management Co., Ltd. and undermined investor confidence in the fairness and integrity of capital markets, which constitutes
Ministry of Finance. The approval criteria include clear disclosure of information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory
development of both primary and secondary markets. This new structure also facilitated issuance of new financial instruments and put in place effective regulations to ensure fairness and prevent exploitation of
duties with efficiency, fairness and transparency; focuses on promoting and developing the operation of the securities businesses. At present, three associations related to the securities business are as
;ระบบในการควบคุมดูแลการกำหนดมูลค่าทรัพย์สินต่าง ๆ ที่กองทุนสำรองเลี้ยงชีพลงทุนเพื่อให้เป็นไปตามหลักยุติธรรมและความสม่ำเสมอ (fairness and consistency) ตามหลักเกณฑ์ที่สมาคมกำหนด และ  
; (ก) ระบบในการควบคุมดูแลการกำหนดมูลค่าทรัพย์สินต่าง ๆ ที่กองทุนสำรองเลี้ยงชีพลงทุนเพื่อให้เป็นไปตามหลักยุติธรรมและความสม่ำเสมอ (fairness and consistency)ตาม
specified by the SEC Office’s Notification, which the intermediary shall fulfill before entering into the transaction for the purpose of transparency or fairness to the client . Clause 23 When an intermediary