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...
, 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
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
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...
ประเภทหลักทรัพย์ : ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ (REIT) | วันที่มีผลใช้บังคับ : 08/12/2557 | วันที่ปิดการขาย : 00/00/0000
that are responsible for ensuring the firm upholds its public interest responsibilities. Please provide any relevant pieces of evidence briefly, e.g., the audit firm's vision and mission statements, or
turnover in busy season? 4 How does the firm address concerns regarding the competence and capabilities of engagement team members, including ensuring they have sufficient time to perform their
in the Audit Firm and the scheme or criteria in setting up the remuneration to the partners in the Audit Firm in the previous accounting period ensuring that the independence of the auditors shall not
the Audit Firm in the previous accounting period ensuring that the independence of the auditors shall not be impaired, and the audit quality shall not be compromised. 8. Details of the Quality Control
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management