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คำที่มีความหมายหรือสะกดใกล้เคียง : Company Assessment , Company Appraisal , Corporation Assessment

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SEC suspends securities firm executive for failing to supervise compliance

Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6452

Evaluation of the Provident Fund Act B.E. 2530 (1987) and Amendment to the Provident Fund Act B.E. 2530 (1987)

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=765

SEC encourages audit firms in the capital market to disclose firm inspection reports on SEC website

, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9346

Result of IPO Sale Reports - FIRM : FRASERS PROPERTY INDUSTRIAL REIT MANAGEMENT (THAILAND) COMPANY LIMITED

Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000

http://capital.sec.or.th/webapp/corp_fin2/cgi-bin/r81_1.php?lang=e&ref_id=74&content_id=1

SEC reveals progress on study on audit firm-auditor supervision laws in foreign country to hasten Thai oversight system

In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for supporting amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to allow more effective and efficient supervision of audit firms and auditors in Thai capital market.SEC Secretary-General Ruenvadee Suwanmongkol said: “This is the first time SEC contracts an independ...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8525

รายงานผลการขาย IPO - FIRM : บริษัท เฟรเซอร์ส พร็อพเพอร์ตี้ อินดัสเทรียล รีท แมนเนจเม้นท์ (ประเทศไทย) จำกัด

ประเภทหลักทรัพย์ : ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ (REIT) | วันที่มีผลใช้บังคับ : 08/12/2557 | วันที่ปิดการขาย : 00/00/0000

http://capital.sec.or.th/webapp/corp_fin2/cgi-bin/r81_1.php?lang=t&ref_id=74&content_id=1

The SEC evaluates the outcome of The Trust for Transactions in Capital Market Act B.E. 2550 (2007) following the Act on Legislative Drafting and Evaluation of Law B.E. 2562 (2019).

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=800

human.doc

? If yes, describe 18 Does the firm have staff consultation unit or counselor/counselee system? D Performance Evaluation 1 Does the firm have documented and organized appraisal policy and process? If yes

https://www.sec.or.th/EN/Documents/Auditor/human.doc

monitoring.doc

person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to

https://www.sec.or.th/EN/Documents/Auditor/monitoring.doc

QAQR-02.xlsx

, any punishment that promotes firm quality, and relevant personal evaluation criteria) and Please describe the details of such actions briefly. B20 How does the firm's leader communicate the audit firm

https://www.sec.or.th/TH/Documents/Auditor/QAQR-02.xlsx