Federation of Thai Industries. Capital market development and corruption issue To combat the major national issue of corruption at all levels is not only the government’s job; it requires commitment and
Federation of Thai Industries. Capital market development and corruption issue To combat the major national issue of corruption at all levels is not only the government’s job; it requires commitment and
and effective oversight of the accounting and audit profession. (ii) Securities commissions and stock exchanges should require listed companies to disclose on a timely basis any change of auditors and
, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with
not lose the money if making investment decision on the advice. Furthermore, {A} failed to immediately submit orders to close out derivatives positions as directed by the client, causing the client to
accessibility. A concerted effort was also directed towards elevating investor awareness and education in the realm of bond investment. The overarching aim was to strengthen the credibility of the Thai bond
statements. Accordingly, TIES must submit to the SEC and publicly disclose the financial statements, urgently. Earlier, the SEC had directed TIES to rectify its 2014 financial statements due to the auditor’s
of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered
regulations. Whereas the laws or regulations that are no longer necessary or outdated, or become obstacles to public livelihood or occupation will be repealed or revised to eliminate burden on people and
Evaluation: Firm's Reference /Guidance Notes Description 1 Does the firm have a documented and organized appraisal policy and process? If yes, please describe. 2 How does the firm’s job evaluation / appraisal