management, compliance, and internal audit based on the principles of the Three Lines of Defense to ensure the effectiveness of securities company oversight and to further promote recognition of the
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
inspection Has your firm been inspected quality control systems by the audit oversight authority? Yes No If yes, please provide us the latest results of the inspection 4. Audit Experience Have you ever
duties of the Board of Directors to ensure control, oversight and monitoring of its performance with transparency and efficiency. Specify also the roles and duties of chairman and manager or the person
governance structure and material facts related to the board, 23 subcommittees, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and
shareholder meeting in key company decisions. The chapter also deals with disclosure of control structures, such as different voting rights. New issues in this chapter include the use of information technology
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
interest entities; and - Exercising that responsibility either directly or through independent oversight. Reference : เอกสารแนบ 1 2 https://www.ifiar.org/IFIAR/media/Documents/General/About%20Us/Charter
and Audit Oversight > Auditor Supervision Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor Supervision The SEC has put its continuing effort on
> Financial Reporting and Audit Oversight > Auditor Supervision > Quality Assurance & Review Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor