แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like
consider their obligations to beneficiaries or clients in terms of broader ethical considerations. They need to manage bribery and corruption, money laundering and other like risks appropriately and
the need for risk management board committees and disclosure. While guidance and regulations for banks and securities companies (under SET) are clear, increasingly these and other activities like
acts as the oversight body, is overseen by an independent body. Such an auditor oversight body must operate in the public interest, and have an appropriate membership, an adequate charter of
overseen by experts, all aimed at creating an illusion of trustworthiness. In addition, the SEC continues to prevent investment scams in various manners, as follows: (1) Posting on the
DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22
due diligence and care in the same manner as a professional would exercise in like circumstance and with regard to customer’s best interest. SEC Act S.133 Settlement Committee Meeting No. 11/2022
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