SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...

Bangkok, September 25, 2014 - The SEC organized ?3rd SEC Working Papers Forum?, jointly with the Faculty of Business Administration and the Faculty of Management Sciences, Kasetsart University presented three research papers on ?Listed Company Assessment?. Dr. Vorapol Socatiyanurak, SEC Secretary-General said that the third SEC Working Papers Forum, organized under the MoU with four leading business schools aiming to provide a platform for capital market research presentation and implementation....

independence of the firm. - Precisely define the ‘related entities’ to enable the audit firms to completely disclose and consider the independence regarding related entities. The process to evaluate the

DJSI. If yes, assess whether the disclosure can be applied to TCFD 3.3 3.4 Evaluate internal risk management processes and consider whether they can be adapted to incorporate climate-related risks

. 2 When the relevant quality risk items are identified, how does the audit firm develop any procedures or processes to assess the level of quality risks? Please provide the details of followings

· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the

a guidance for companies to evaluate their internal control adequacy. This evaluation form is based on COSO1s framework (The Committee of Sponsoring Organizations of the Treadway Commission) revised

มูลทีสอดคล้องกับ TNFD ได้ และใช ้The LEAP Approach เปนวธิตีรวจสอบเพิมเติม เพือใหม้ันใจวา่กระบวนการดังกล่าวจดัการกับปญหาทีเกียวกับธรรมชาติได้อยา่งเพียงพอ Assess your nature-related risks and

inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm

, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example