application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during
ethical requirements and quality Performance ? 4 Is the work of all registered auditors in the firm, including partners, subject to quality review from network firm or monitoring unit and appraisal? If yes
พัฒนาการในตลาดทุน โดยเฉพาะอย่างยิ่งจากการใช้เทคโนโลยีและนวัตกรรม เช่น การใช้เทคโนโลยีปัญญาประดิษฐ์และข้อมูลขนาดใหญ่ (AI/Big data) ในการกำกับดูแลและติดตามการดำเนินงานของผู้ประกอบธุรกิจ (off-site monitoring
supervision and surveillance. In addition, all activities are subject to checks and balances as well as examination in a timely and appropriate manner. Another major mission that has become a national agenda
closely monitoring the situation and assessing possible impacts, placing importance on efficient risk management under the supervision of the Risk Oversight Committee, 8 Market Risk Management Sub-committee
inspection results in the 3 inspection cycle (2017-2018); the score in each element of the quality control system of most audit firms was higher than that during the 2 cycle, notably the ‘monitoring’ element
) สารสนเทศและการสื่อสาร (Information and Communication) กระบวนการติดตามผลและแก้ไข (Monitoring and Remediation Process) สรุปหลักเกณฑ์การให้ความเห็นชอบผู้สอบบัญชีในตลาดทุน กฎเกณฑ์ แนวปฏิบัติ และหนังสือเวียน
delivering value to the benefit of beneficiaries or clients over the appropriate time-horizon. 1.2 Independent oversight Institutional investors should be led by boards or other governance structures that act
monitoring programmes should be in place to enable staff to understand relevant codes of conduct and apply them effectively to avoid company involvement in inappropriate behaviour. 5.0 Risk oversight 5.1
Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives Clearing Houses Clause 2 A derivatives clearing and settlement system is a