suppression of improper behaviors of listed companies. The webinar also aimed to communicate and build the understanding of revisiting rules and oversight measures that the SEC and the SET have revised to

developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from

out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum

customer due diligence (CDD) to ensure a more comprehensive assessment aligned with customers’ income and occupation profiles, alongside ongoing monitoring of investment behavior. Where red flags are

) Photocopy of the latest inspection result or report issued by all of the following parties (if any); - the audit oversight authority - professional body - network firm - firm’s internal monitoring Signature

Oversight Department Apichaya Follett led the presentation on “Overseeing the Quality of Financial Reporting Process”, followed by Director of Corporate Finance Department 3 Songyod Bunjoungmanee on the

in place, and disclose sufficient information.The SEC oversight is generally based on the concept of moving toward standardization and emphasizes measures for business development and mechanism for

executives, formulating a diversity policy for board, such as gender, age, skills, expertise and putting policies into practice with goal setting as well as monitoring and reporting. This includes the role

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

. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)