. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies. By
Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities
(Internal) SEC Classification : ใช้ภายใน (Internal) ความส าคัญ บทบาท และ โอกาสของผู้สอบบัญชี 10 ESG strategy ESG-in-process ESG assurance governance & control SEC Classification : ใชภ้ายใน (Internal) SEC
, and (c) continuing education, quality assurance and investigative and disciplinary systems. 5. The system of public oversight shall have the right, where necessary, to conduct investigations in relation
respective Principles. These Guidelines for External Reviews aim to promote best practice. They complement the Principles and other existing relevant guidance such as the Assurance Framework for the Climate
this Notification, the intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9
this Notification, the intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9
of Standards and complementary tools, including a glossary, guidance materials, assurance framework and training for different actors across the capital and investment spectrum. The Standards build on
1,760 million Baht. However, the record of the OFC rental under the Rental Assurance Agreement (20% of the OFC) remains unchanged. 2/2 3. Net profit In the first quarter of the year 2020, the Company and
2 . The existence of such assurance reporting should be publicly disclosed. If requested, clients should be provided access to such assurance reports. 2 Assurance reports on internal controls of