นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงาน "2021 UN Women WEPs Awards High-Level Dialogue: Envisioning the future for a more gender

weighted average scores for each TSQC1 element from the first-cycle and the second-cycle of firm-level inspections The SEC found that the audits of listed companies’ financial statements were of high quality

statistical information Our focus for 2014 2 4 8 15 19 33 37 40 47 49 Summary of inspection results A. Firm level B. Engagement level A. Firm level B. Engagement level 1 Thai capital market is one of the

. • Create a liquid savings reserve (emergency fund) before contemplating investing. • Choose investments that suit the individual’s risk tolerance level and investment objectives. • Diversify investments

Trading (HFT) Regulatory Framework HFT ท าให้รายย่อยลงทุนยาก/เสียเปรียบ? 15 Academic research is mixed on the contribution of high-frequency traders to transaction costs. It is crucial to evaluate whether

seriously come into question, especially when it involves those with high-level positions. The SEC, then, prefers that audit firms limit their risk exposures by progressively reducing the extent of personal

the quality risks in Acceptance and Continuance of Client Relationships and Specific Engagement element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1

................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause

, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example

base on a specific percentage of each level of the net credit balance after deduction of the present value of the collateral, and the NPL amount, which carries a high risk of being uncollectible