. The SEC considers qualifications of securities issuers and supervises the disclosure of information in order for the investors to have sufficient information in making an investment decision

their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law

sufficient information for making decisions, as well as to enhance the quality of financial reporting, the SEC regulates auditors who audit and express opinions about financial statement in capital market in

involved;  Providing agencies with sufficient powers to regulate and monitor market behavior, * The participating Asian economies include: Bangladesh, China, Hong Kong China, India, Indonesia, Korea

professional training courses on a continuing basis, as stated in the SEC-approved curriculum of the Valuer Association of Thailand, to ensure sufficient self-development and knowledge improvement

-driven landscape and changing consumers? behaviors. Locally, a major driving force that is the aging society is having a stronger influence on the adjustment of products and services to generate sufficient

aging society is having a stronger influence on the adjustment of products and services to generate sufficient yields for the elderly investors. It is part of our job to build consumers? awareness of the

are sufficient and correct before forwarding them to the Board of Directors for consideration. - Review the internal control system to oversee that the internal audit procedures are adequate

is not sufficient to provide assurance that such non-audit services may or may not impair the independence arising from the self-review threat or advocacy threat. • The audit firm may lack necessary

whether the code of conduct is complied: 1.3.1 Monitoring and assessment by an internal audit unit or a compliance unit; 1.3.2 Self -assessment by executives and employees; 1.3.3 Assessment by independent