board structure, in terms of size, composition, and the proportion of independent directors so as to ensure its leadership role in achieving the company’s objectives. Principle 3.2 The board should select
over five years per period 2.1.2 Qualification of Approved Auditor An auditor to be granted approval by the SEC shall possess qualifications of an individual person and of the firm to
plans. Principle 3 Strengthen Board Effectiveness Principle 3.1 The board should be responsible for determining and reviewing the board structure, in terms of size, composition, and the proportion of
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
likelihood of identified risks are assessed and prioritised, and that suitable risk mitigation strategies and plans are in place. br> 6.1.5 Considering the size and nature of the company, the board may
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
. Reformation and Legal Framework Extent of director liability index Thai law protects the right of minority investors to bring an action against any director who acts or omits to act in any way that constitutes
. Reformation and Legal Framework Extent of director liability index Thai law protects the right of minority investors to bring an action against any director who acts or omits to act in any way that constitutes
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1