-term wealth for the Thai people, national competitiveness, and sustainable growth for the economy and the society. Given all those tasks to achieve, the SEC management, staff and all related parties have
regulatory sides toward impending changes. It is going to be another challenging year. Strong cooperation of all parties, however, will take us through obstacles and toward our mutual goals
quality in these areas. The root cause analysis on some audit firms’ continual lack of the ability to fully remediate their deficiencies revealed a scarcity of experienced and competent staff to assume
with regulating auditors around the globe, and a member of ASEAN Audit Regulators Group (“AARG”). Memberships of both IFIAR and AARG facilitate the promotion of international cooperation and enable the
responsibilities, the SEC management and staff organized charity events to raise funds for underprivileged rural schools in Petchburi province and, in cooperation with the financial media, made donations to an
including the work-from-home cooperation, the SEC adopted a remote approach for inspection of audit firms’ quality control systems, which enabled the SEC to maintain a regular inspection of such systems. In
Corporate Finance 33 Broker-Dealer 36 Asset Management 43 Investment Adviser 48 Enforcement 53 Market 57 International Cooperation 60 Corporate Affairs Appendices 63 Capital Market Performance 2002-2004 69
-functioned accounting department, equipped with competent staff, as well as a seasoned and independent audit committee to oversee the process. As the function that originates all types of the financial
THB 8.3 MB, most of which decreased from staff expenses. And the additional financial cost of THB 4.3 MB, mainly from the interest of trust receipts from the purchase of raw materials. The Company
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior