Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with

each client that contain accurate, complete, and up-to-date information in the event of returns mandate of client assets.   The SEC emphasizes the importance of monitoring the operations of business

all 5 steps Pre-Listing & Listing Trade Surveillance Ongoing Obligations Escalation to Public Delisting1 2 3 4 5 Revise qualifications of companies to be listed on SET and mai Require consistent

developing existing software to accommodate digital asset trading surveillance, detect anomalies, identify demeanors and gather and prove evidence, and to promote the use of class action and establish an

Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform

-class investments ▪ Step 5: Review portfolio implications: ▪ Tracking error ▪ Style factors ▪ Step 6: Monitoring, reporting and audit Screens are often based on data, obtained from third-party providers

style can be analyzed through performance-based, holding-based and transaction-based framework. Fund return, correlation, tracking error Portfolio turnover, Transactional data Fund constituent (Name and

หว่างส านักงานและ FCDO (UK) เพื่อส่งเสริมความร่วมมือด้านบริการทางการเงิน ด าเนินการแล้วเสร็จ 1. Corporate Surveillance System (CSS) : พัฒนาโมเดลที่ใช้คาดการณ์ข้อบ่งชี้การกระท าทุจริตตกแต่งงบการเงินของ บจ

minutes of the Board meetings in compliance with the corporate governance principles. This includes the monitoring of executions of the Board resolutions and orders. In 2006, there were 13 Board meetings

efficient and effective monitoring process. Along the same line, the inspection results of individual engagements showed promising improvement of audit quality in the capital market, as reflected in the