Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...
circulation of prospectus for solicitation to buy securities. Clause 46 An intermediary who wishes to arrange for an advertisement shall manage the advertisement in the appropriate manner of content, proportion
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 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. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
percent and circulation revenues decreased by 26 percent. 2. Costs and expenses for the year 2018 decreased by 81 percent, compared to the same period in 2017. The main reasons were: Cost of sales and
- committees, circulation of draft rules for comments, discussion groups and consultative papers. This is to ensure that SEC regulations go through a hearing process and that regulated entities have
general satisfactory score of 70 out of 100 and received exceptional results in the supervision of securities companies and asset management companies. We made a full score on mutual fund supervision. 5 In