SEC received Broadly Implemented for Principle relating to auditor's oversight. (2) Principles with significant improvements: 11 Principles - staff professionalism and independence - cooperation with

” hosted by the Public Company Accounting Oversight Board (“PCAOB”), to keep abreast of the evolution of auditor supervision in the international level and apply it to improve Thailand’s audit regulatory

Singapore in this area due to the SEC’s independent oversight system and robust supervision of audit quality assurance on par with international standards. The SEC also completed its assessments on quality

Objectives of the Supervision of Securities Clearing Houses and Central Securities Depositories Clause 2 A securities clearing and settlement system is a fundamental system which has connection to the

adjusting supervision and operation in compliance with the law on digital technologies to ensure that transactions in the Thai capital market are in line with the law. We also foster creation of digital

the audit quality control system, and closely monitored the COVID-19 pandemic situation to adjust the oversight approach and communication with stakeholders to meet the changing situation. In so doing

on the selection of qualified candidates. Boards of directors must improve their participation in strategic plan- ning, monitoring of internal control and risk oversight systems. Boards should ensure

regulator for Thai capital market, as evidenced by an endorsement from the European Commission (“EC”) given to the SEC in June 2013 to acknowledge the SEC’s audit oversight system as being equivalent to that

first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to

Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4