Qualifications and Additional Prohibited Characteristics of Personnel in the Capital Market Business Clause 139 Personnel in the capital market business shall be persons who [i] have ability and work experience
. Chapter 3 Qualifications and Additional Prohibited Characteristics of Personnel in the Capital Market Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and
severity and any delays in resolving them would reflect poorly on the ability of firm leaders to discharge their responsibilities successfully, resulting in the SEC lowering the score of their TSQC1 element
has carried out various undertakings in preserving the trustworthiness of financial reporting system and protecting investors. With respect to audit quality inspection, the results showed that in the 3
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
capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of being punished or legally proceeding against for management in the
baht for the first quarter of 2019, representing 43.87 percent, which is a result of the ability to deliver the work that are postponed from the previous year to more customers and recognize revenue
clients’ management, especially in terms of their trustworthiness; Insufficient documentation of detailed responses to the engagement risk assessments before accepting new clients; and Issuance of
enhance a company’s ability to generate long-term financial returns. Businesses that fail to make sufficient investments in the future can doom themselves to irrelevance. These businesses need us—their