AW COVER SEC AR 2014 (create).ai สารบัญ สารจากประธาน สารจากเลขาธิการ คณะกรรมการ ก.ล.ต. คณะกรรมการกํากับตลาดทุน ผู้บริหารระดับสูง โครงสร้างองค์กร ธรรมาภิบาลองค์กร การพัฒนาองค์กรสู่ความยั่งยืน การ
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
fund, the Government Pension Fund, provident fund or any other legal entities as specified in the notification of the SEC. 4 “competent official” means any person appointed by the Minister to perform
the firm’s audit manual and audit procedures, the lack of understanding in requirement of relevant standards, the lack of competent and skillful personnel, and the inappropriateness of internal
company clients - The policy regarding the key audit partner rotation in case of listed company clients may not cover the rotation of engagement partners, who are also considered a key audit partner; - The
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
increasing the efficiency of legal enforcement and investor protection and establishing a proactive policy to increase competent auditors in support of potential increase in the number of listed companies
distribution channels is increase that for cover more the customers. Please be informed. Yours Sincerely, Panya Bunyapiwat Chairman
approval for audit firms and auditors in the capital market and the determination of penalties which cover a wide range of enforcement measures and are commensurate with the degree of wrongdoing. In 2020