Leadership Academy? project with a view to fostering new generation? leadership, business and financial literacy and morality. The SEC, jointly with TLCA and maiA, will support the ?Territorial Defense
morality, the SEC has the power to refuse registering the persons as directors of the association. When it is apparent that the board of directors, directors or members of the associations undertake any
economy or the national security or peace and order or the morality of the public, a license for establishment shall be issued and the association related to securities business shall be registered. Clause
resource, the evaluation results are profoundly satisfactory. It is the reflection of the perseverance and prudence of the audit firm’s leader, as well as its personnel, to collaboratively remediate the
in 2016 and 2017 showed that the majority of the firms’ leaders focused more on the root cause analysis of the deficiencies, which clearly manifested their perseverance and attention to improving and
, the portion of the SEC-approved auditors without any observations significantly increases. This development stems from the perseverance and cooperation between the auditors and audit firms in
Activity_Report_62En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 Contents Executive Summary 02 42 45 19 30 04 08 14 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results B. Engagement-Level A. Firm-Level 38 Root Cause Analysis Framework and Focuses in 2019 Essential Statistics Auditing Landscape in Thailand Executive Summary The capital market plays an important role in d...
honestly and make decisions fairly for the benefits of all parties in the capital market. The SEC Staff Code of Conduct As the regulator of the Thai capital market, the SEC is adhered to morality and