following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
objective restriction in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset
returns are fitted using GJR-t-GARCH models and then analysed using time-varying conditional copulas to ascertain if tail dependence exists. The study tests a number of well-known copulas, i.e., Gaussian
review is adequate, and the audit has quality. If the engagement teams fail to obtain sufficient appropriate audit evidence, the partners and the managers should be able to identify the issues before
complex holding structure that could put their independence at risk while other firms have utilized outsourced audit staff without any established procedures to ascertain their compliance with the ethical
statements on a regular basis. This is to ascertain that the financial reporting is prepared in accordance with financial reporting standards and properly disclosed. In 2017, the SEC mandated two listed
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
broker shall inform the client of such position and obtain a written consent from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to
broker shall inform the client of such position and obtain a written consent from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to
333/3 Viphavadi Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel: +66 1207 or +66 2695 9999 Fax: +66 2695 9660 e-mail: info@sec.or.th BU I L D ING BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange Commission, Thailand Contact Information This report is available for download on the SEC website: www.sec.or.th For more information, p...