Beyond Liberty Company Limited : Unlicensed securities and derivatives business (Disclosure Date : 22/04/2014)
Beyond Liberty Company Limited : Unlicensed securities and derivatives business (Disclosure Date : 22/04/2014)
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the adequacy of firm’s procedures? 2 For firms without designated
audit firms usually belong to a group of firms or a large network firm, which could lead to situations where the auditors’ independence could have been impaired had the firm leaders not been cognizant of
competitiveness so that its roles in helping to solve the country’s economic problems can be enhanced. It is therefore hoped that every parties who are directly and indirectly involved in the capital market will
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
ex-officio Chairman, not to attend the Board meetings to ensure SEC independence. ** By virtue of Section 21 and Section 38(5) of the Act on the Administrative Organization of the State Affairs, B.E
, including domestic and global economic policies. Relevant actions taken are as follows: Establishment of the Risk Oversight Committee to increase level of independence of risk governance structure and
well as maintain proper check and balance within the SEC organization. 1.1 SEC Board The SEC Board’s structure is in line with international standards to ensure independence and transparency whereby the