auditors cannot maintain their qualifications, or b. foreign auditors violate the professional code of ethics or international auditing standards, and the violations lead to negative effect to the overall
violate the professional code of ethics or international auditing standards, and the violations lead to negative effect to the overall reliability of the Thai Capital Market. Normal 1. Qualification of
severe damage or a negative impact on public interest, or when a chance to clarify cannot be given to the alleged offender per se. If the gathered evidence presents a sufficient ground for enforcement, the
(example of such issues include operational issues such as a change of a mutual fund management company, or a fund supervisor); (B) A matter that affects unitholders in all classes with different degree
(example of such issues include operational issues such as a change of a mutual fund management company, or a fund supervisor); (B) A matter that affects unitholders in all classes with different degree
related to the company. To efficiently perform duties, audit committee should assess damage degree in case the company fails to company with certain regulation to determine the matter that may have impact
the SEC within 30 days . In case the operator ( a ) fails to submit such plan ( b ) fails to operate in accordance with the plan ( c ) experiences negative NCs for 5 consecutive days, or ( d
potential negative impacts on the environment and society. (Thai businesses participating in the programme include Thai Life Assurance Plc. and Tisco Bank Plc. Investor PRI (Principles for Responsible
potential negative impacts on the environment and society. (Thai businesses participating in the programme include Thai Life Assurance Plc. and Tisco Bank Plc. Investor PRI (Principles for Responsible
, a committed criminal offence has a costly negative impact on the public confidence in the capital market. The SEC therefore gives a greater emphasis on proactive prevention by formulating regulations