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...
normalization of the Federal Reserve’s balance sheet, the impact of which will be more evident this year, will likely contribute to occasional volatility in capital flows, prompting businesses to manage their
, as evident in the recent emissions scandals. Although there is scope to improve international regulatory standards by the US EPA and the EU Commission, this will take time and therefore, the use of a
TRANSLATED VERSION As of June 3, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No.4) B.E. 2551 (2008), Sec...
be added as Section 160/1 of the Securities and Exchange Act B.E. 2535: “SECTION 160/1 In the case where it is evident to the members under Section 158 that the operation of the Securities Exchange
ยาว การศึกษาภายหลังช่วง ค.ศ. 2000 เปนต้นไป จะมุ่งเน้นไปที่ประเด็นว่า หาก กองทุนมีผลการดาเนินงานที่ดีแล้ว ผลการดาเนินงานที่ดีนั้นเกิดจากทักษะที่ดี (skill) ของผู้จัดการกองทุนหรือเปนเพียงโชคดี (luck
No. ECF2 035/2562 23 September 2562 Subject Notification on the resolutions of the Board of Directors’ Meeting approving the purchase of the ordinary shares in KPN Academy Company Limited, the increase of registered capital, the issuance and the allocation of the newly-issued shares to specific persons (Private Placement) and the convening of the Extraordinary General Meeting of Shareholders No. 1/2019 (additional) To Director and Manager The Stock Exchange of Thailand Enclosure 1. Information M...
No. ECF2 035/2562 23 September 2562 Subject Notification on the resolutions of the Board of Directors’ Meeting approving the purchase of the ordinary shares in KPN Academy Company Limited, the increase of registered capital, the issuance and the allocation of the newly-issued shares to specific persons (Private Placement) and the convening of the Extraordinary General Meeting of Shareholders No. 1/2019 (2nd additional) To Director and Manager The Stock Exchange of Thailand Enclosure 1. Informati...
outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for undertaking its business, with the knowledge, skill and expertise necessary for
No. ECF2 035/2562 23 September 2562 Subject Notification on the resolutions of the Board of Directors’ Meeting approving the purchase of the ordinary shares in KPN Academy Company Limited, the increase of registered capital, the issuance and the allocation of the newly-issued shares to specific persons (Private Placement) and the convening of the Extraordinary General Meeting of Shareholders No. 1/2019 To Director and Manager The Stock Exchange of Thailand Enclosure 1. Information Memorandum on...