SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit firms in the capital market, and regularly inspects and issues inspection
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
of voting results. Principle 6: Act collectively with other investors and stakeholders as appropriate. Principle 7: Regularly disclose the Investment Governance Policy and compliance with the policy
. Principle 6: Encourage asset managers to act collectively with other investors and stakeholders as appropriate. Principle 7: Regularly disclose the Fund’s Investment Governance Policy and implementation
insufficient. 5. Have a clear policy on exercising voting rights and disclosure of voting results. 6. Act collectively with other investors and stakeholders as appropriate. 7. Regularly disclose the Investment
related information, (2) revising the supervision of major shareholders of business operators under both laws so that it will be applied consistently, (3) reconciling the supervision of persons who work
rating methodology for each class of entity or obligation for which the CRA issues credit ratings. Each credit rating methodology should be rigorous, capable of being applied consistently, and, where
these inspections regularly communicated to ensure timely rectifications of any deficiencies found. Through such efforts, the SEC is now widely recognized as a trustworthy and effective independent audit
will regularly review and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the
to audit quality inspection carrying out by inspectors of the SEC Office; 2. I certify that if an auditor of the audit firm has been registered with the SEC Office, the audit firm will regularly review