collective activities Total number of staff: 418 A n n u a l R e p o r t 2 0 0 6 5 Audit Committee Secretary-General Thirachai Phuvanatnaranubala Internal Audit Dept. 12 staff Deputy Secretary-General Prasong
Statistical Highlights Audit Committee Statement Report on Internal Control over Financial Statements Financial Statements Appellate Committee Arbitrators Sub-committees 2 3 4 6 8 11 21 27 30 34 41 50 58 70 76
shaping was done in the area of issuer integrity. All public companies were encouraged to set their own definitions for eligibility of independent directors, to exceed the minimum standard. All directors
corporation’s accounting and financial reporting systems. New issues in this chapter include the role of the board of directors in risk management, tax planning and internal audit. There is also a new principle
internal redress procedures for violation of employees‟ rights. Governments and private-sector bodies should also promote the use of mediation and arbitration in providing redress for external stakeholders
Assistant Secretary-General ■ 1. Mr. Paithoon Tejasmit Director Office of Internal Audit 1 2 3 4 5 1 Office of Internal Audit • responsible for auditing activities and operations of the Office of the SEC to
: International standards on Auditing iSQC: International standard on Quality control KPi: key performance indicators mAi: market for Alternative Investment md: managing director; in practice, ceo is generally used
Agency ● Internal Management 57 Board of the SEC 58 Appellate Committee 59 Sub-committees and Steering Group 66 Arbitrators 67 Executives Officers 68 Capital Market Performance 2001-2003 72 Investigation
capital market supervision is crucial and necessary. The regulations under this Notification set a standard for operation of securities clearing houses and central securities depositories so that their
SEC relies on the Check and Balance System whereby the Audit Committee and the Internal Audit Department are responsible for reviewing and giving recommendation to the SEC Board on the matters related