compliance professionals and facilitating more flexibility and compatibility with international standards as compliance unit functions for inspection and prevention of risks associated with business operators
matters: (1) business continuity management, as detailed in Part 1; (2) review, monitoring, and examination of computer systems relating to clearing, settlement, and depository services with respect to
of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5
. (UNOFFICIAL TRANSLATION) (Revision 2015) Table of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control
the efficiency in operating system examination and in line with the international standards. Additionally, the revised regulations allow more flexibility for suitability test; for example, if tested by
in Thailand to the highest level in line with international standards. IFAIR conducted this survey for the first time with the objective to identify the level of inspection activity and common
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally; - Consider the
Bangkok, August 20, 2012 ? The SEC revealed that examination on quality assurance of audit firms showed satisfactory result after the issuance of regulation requiring all auditors of companies in the