supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
word “draft prospectus” in red letters, at a size not smaller than the size of the general statements in the above-mentioned documents, which shall be clearly visible; (b) a warning statement presenting
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, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
case of movement or changes in transactions. This significantly decrease the time of each process because each activity in the Capital Market has complicated process and steps regarding document
has ended to maintain the benefit of continuous saving.?The post-retirement issue is getting more complicated as the society is moving toward longer lifespan and higher living costs especially medical
involving with complicated transactions, audit works need competent audit teams under quality assurance system. To lift up confidence in the Thai capital market, audit firms should place priorities on