Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising
clients which open an account or make transactions with the intermediary for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the
clients which open an account or make transactions with the intermediary for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the
clearly define the roles and responsibilities of management and monitor management’s proper performance of its duties. * The board should demonstrate a thorough understanding of the division of board and
majority of our audit firms implemented monitoring tools such as a database tracking staff’s training hours, which could be used by the staff themselves to self-monitor as well as by the firms to monitor
in this manner had not happened before. The fact in this matter, although seems not so complicated, relates to many provisions of laws under the purview of both the SEC and the DBD. Accordingly, while
qualified audit personnel and inability to react to changes of professional standards and more complicated structural transactions, will also be addressed to support market readiness for current dynamic
investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information