additional information and facilitate the SEC Office’s officials or assignees in conducting a site visit and inspection over the audit quality control system of the audit firm where I work for, for the benefit

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

, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of

Division Central Treasury Department – Finance and Control Division KASIKORN BUSINESS- TECHNOLOGY GROUP Internal Audit Audit Division Audit Committee Risk Oversight Committee Operating Committee Credit Risk

://www.sec.or.th/TH/Documents/AboutUs/KeyPerformance-2561.pdf English (United States) CMSB waratchya affairs, strategies; and currently overseeing policy and supervision of intermediaries, asset management

as disastrous results of creative accounting practices employed by listed companies in foreign countries (ex. Enron and Worldcom) led to an overhaul in auditor supervision where we witnessed a shift

Division comprises Intermediaries Supervision and Development Department, Intermediaries Inspection Department and Licensing Department.    2. Deputy Secretary-General Vasant Thienhom is in charge of the

Supervision Department.       

custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trading framework. The Custodian Club consists of 13 members, including commercial banks engaging in fund supervision

facilitate the exchange of experiences among law enforcement personnel involved in the Thai capital market. During the event, SEC executives presented lectures focusing on supervision and law enforcement