international expertise and reliability, to study the changing landscape, opportunities, challenges and potential impacts on securities businesses including how businesses adapt in response to changes under the
digital asset business operators with a focus on quality and reliability enhancement of such business operator to protect investors. This means the records of investors’ assets under custody of the business
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to improve audit quality Executive summary Contents Quality Assurance Review Panel (“QARP”) Significant
and work systems to ensure orderliness, fairness, efficiency and reliability of market activities, and support appropriate fundraising, investment and securities trading to promote continuing growth of
and work systems to ensure orderliness, fairness, efficiency and reliability of market activities, and support appropriate fundraising, investment and securities trading to promote continuing growth of
contain provisions that clarify and specify elements of the offences regarding market misconduct and increase enforcement measures to improve efficiency and compliance with international standards. The key
SEC Secretary-General Rapee Sucharitkul revealed that “independence of the auditor is a key factor in establishing the reliability of the financial reports. When the international standards on this
companies; Ensuring fair treatment to shareholders of a takeover target company; Enforcing cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability
financial reports of listed companies The quality and reliability of listed companies’ financial reports play a pivotal role in supporting transparency and trustworthiness of the Thai capital market. To that