required? If yes, please describe. 11 Does the firm's policies and procedures include the determination of the engagement team’s: • understanding of, and practical experience with, engagements of a similar
governance standards and promoting investors’ confidence in the capital market. • The SEC and the Office of the Auditor General of Thailand (“OAG”) signed a Memorandum of Understanding for strengthening audit
first bilateral memorandums of understanding designating multilateral cooperation for digital transformation of the Thai capital market in line with Thailand 4.0 Blueprint, on 27 May 2019 at the SEC
education, product innovation and appropriate channels for different target groups. On the same token, businesses should make proper preparations and have a clear understanding of the roles and
The Memorandum of Understanding provides a framework for cooperation between the two authorities with respect to promoting innovation in financial services. The CSSF and the SEC Thailand intend to
aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and
inspection as follows: (1) Communicate with the related personnel to be aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2
auditor’s understanding of his/her client. The planning and performing of these procedures, whether alone or in combination with tests of details, should be in accordance with the requirements of the relevant
company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer
follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer price and: (2) In the