Appendices Statistical Highlights Report of the SEC Board on Internal Control over Financial Reporting Audit Committee Report Report of the Auditors and Financial Statements Sub-committees Arbitrators 41 50 56
forthcoming liberalization within five years. Message from the Secretary-General 4 not only empowered businesses but also furthered the moves toward the SEC's much anticipated self- regulation. On social
are clearly defined in conformity with the good internal control principle. We also emphasize thorough, accurate and regular disclosures on risk, capital and liquidity management to the public. 3
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
compliance with applicable laws and regulations. Apart from reviewing the preparation of financial statements, the internal control of such preparation is evaluated while the Control Self-Assessment (CSA) is
น้อยสามารถเสนอเพิ่มวาระการประชุมล่วงหน้าก่อนวัน ประชุมผู้ถือหุ้น คณะกรรมการควรมีมาตรการป้องกันกรณีท่ีกรรมการและผู้บริหาร ใช้ข้อมูลภายในเพื่อหาผลประโยชน์ให้แก่ตนเองหรือผู้อื่นในทางมิชอบ (Abusive self
ควบคุมภายในที่เหมาะสม (Strengthen Effective Risk Management and Internal Control) หลักปฏบิตั ิ7 รักษาความน่าเชื่อถือทางการเงินและการเปิดเผยข้อมูล (Ensure Disclosure and Financial Integrity) หลักปฏบิตั ิ8
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial