Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the

SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in

According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders.  As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...

, including the CEO, the risk assessment responsible person and any relevant risk owner in TSQM element? B5 Does the firm communicate to the person who take care of performance evaluation to consider the

Questionnaire No. Particulars Reference /Guidance Notes Description Risk Assessment Process for Governance and Leadership element A1 What are the quality risks in Governance and Leadership element

performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate

findings raised by the SEC, which ultimately lead to the improvement of audit firms’ quality. Figure 6: The weighted average score by total market capitalization of each element in the ISQC1, compared among

Questionnaire A.0 Risk Assessment Process for Relevant Ethical Requirements element Firm's Reference /Guidance Notes Description 1 What are the quality risks in ethical requirement element that the

(2019-2021), the SEC stepped up the inspection on each element to conform with today's changing contexts. More in-depth inspections on the areas containing risks to audit quality and sustainability of

for quality within the firm” and “human resources” elements, as compared to the results from the 2 or 1 cycle. Meanwhile, the “ethical requirements”, an element of observations and further improvement