Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a

Bangkok, March 26, 2015 ? The SEC recently hosted ?3rd ASEAN Audit Inspection Workshop? and ?2nd ASEAN Financial Statement Surveillance Workshop,? the international audit oversight events, in Bangkok

conduct. 2 The company should specify anti-corruption measures suitable to the risk profile of the company. 2. The board of directors demonstrates independence from the management and exercises oversight of

first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to

. ____________________ *   The execution of trading orders of capital market products based on an automated program that runs product selection and trading placement without interference from any factors and according

made falsifying document deceiving this clients that the orders had been executed and claimed that the Automated Trading System (ATS) faced problems. He also deceived his clients to withdraw their

processed. Instead, he falsified documents to deceive the clients that their orders had been executed.  He also deceived the clients that the Automated Trading System (ATS) failed to function and thus asked

in many markets."The SEC believes that continual capacity building of human resources in the securities industry is vital to the health of our capital market and the economy.  Although automated

in many markets.The SEC believes that continual capacity building of human resources in the securities industry is vital to the health of our capital market and the economy.  Although automated program

และภายในเวลาอันควร 2. คณะกรรมการมีความเป็นอิสระจากฝ่ายบริหาร และทำหน้าที่กำกับดูแล (Oversight) และพัฒนาการดำเนินการด้านการควบคุมภายใน คำถาม ใช่ ไม่ใช่ 2.1 มีการกำหนดบทบาทหน้าที่ของคณะกรรมการแยกจากฝ่าย