reporting lines are clearly defined in conformity with the good internal control principle. We also emphasize thorough, accurate and regular disclosures on risk management and capital to the public. 3 Details

resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the

also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm.  As such, the auditing must be carried out

มือทางการเงิน” และ “บทบาทของผู้สอบบัญชีต่อการประเมินความเสี่ยงและตรวจสอบ IT Application Control” โดยมีนายประสัณห์ เชื้อพานิช กรรมการ ก.ล.ต. (ที่ 6 จากขวา) และนายสุพจน์ สิงห์เสน่ห์ ประธานคณะกรรมการ

Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management

securities analysts to participatein fintech development/application processes;(4)      Have control and inspection system for algorithm;(5)      Have data management and governance;(6)      Disclose scope

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

(Newest) Date (Oldest) ’ digital assets under BX’s control or possession to other wallets which are not purported to keep client’s assets servicing clients who want to reclaim their assets and will lay off

firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back

) That is clearly aimed at profit or cost-sharing or shares common ownership , control or management, common quality control policies and procedures, common https://publish.sec.or.th/nrs/6561p.doc หนังสือ