Facebook page ชื่อ Matter of investment : Unlicensed securities and derivatives business (Disclosure Date : 08/08/2023)
Facebook page ชื่อ Matter of investment : Unlicensed securities and derivatives business (Disclosure Date : 08/08/2023)
of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered
where it is appropriate to direct the issue. Is it a matter for the board of directors in its entirety? The chair or the lead director? Or a particular committee that may be responsible for the issues of
Federation of Accounting Professions to issue interpretations on six principles to plug this loophole, with more to follow. To tighten the enforcement of company directors’ behaviour, we set up a disciplinary
standards to ensure that all practitioners are fit and proper ë Issue rules and regulations for authorization and operation of securities businesses ë Issue rules and regulations governing asset management
covering a total of over 200,000 employees. Making investments a more personal matter was another initiative that builds the discipline to save and invest, through schemes such as “A thousand baht, start a
be accepted from and offered to audit clients, their directors, officers and employees, and should issue guidance to assist partners and staff to comply with such policies 12 Any significant gifts or
employees, and should issue guidance to assist partners and staff to comply with such policies 12 Any significant gifts or hospitality received by the audit, firm, key finance, accounting and audit personnel
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...