Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
Interpretation • [All] One-standard deviation increase in paper loss would raise risk-taking by 13.79% • [Low-Risk Group] One-standard deviation increase in paper loss would raise risk- taking by 10.49% • [High
ICO, the SEC would like to further raise the following issues for public consultation. Please note that our public consultation will be extended to December 15, 2017. To send your comments and
demand the communication with concerned parties and gradually resolve the findings. As such, the SEC will continue to raise the issues recommending the firm to devise additional remediation plan as follows
communicated, aiming to enhance the quality and reliability of listed companies’ financial reports. In December 2015, the SEC and the FAP jointly hosted another seminar to raise awareness on the new auditor’s
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...
for linkage with ASEAN and other markets, to raise international interest in the local market and products, to ensure readiness of investors and stakeholders and to advance regulatory reform in line
clearly aligned with low carbon transport. This is largely due to a number of rail issuers, usually large state-backed rail entities, which have a long history of using bonds to raise finance. Auto
.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of