SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...

accounting and auditing standards. The event aims to promote audit regulator and audit firm cooperation, boost audit quality in the region while enhance reliability of financial reports of companies in ASEAN

governance;(6)      Disclose scope https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8654 SEC urges business operators to make necessary preparations to handle COVID-19 situation SEC requests that business

companies? chief executive officers (CFO), the key persons responsible for accuracy and reliability of financial reports, aiming to raise awareness of their responsibilities and importance of financial

SEC Secretary-General Rapee Sucharitkul revealed that “independence of the auditor is a key factor in establishing the reliability of the financial reports. When the international standards on this

companies;  Ensuring fair treatment to shareholders of a takeover target company;  Enforcing cases of corporate fraud;  Supervising business operators to take care of investors with fair and reliability

possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.

______________________________________________________________________ Remark: The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore

issuing this Notification is to ensure that the person granted a license to be derivatives broker possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the

auditor?s findings in the audit of the company 2014 financial statements on cost of sales and inventories which revealed lack of efficiency and reliability of AIE internal control system. The auditor was