Activity Report 2016_En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 Executive Summary...................02 Quality Assurance Review Panel................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause Analysis...................42 Framework and Focuses in 2017...................44 Essential St...
Engagement.) An investor may have questions that can be answered by an explanation of current operations—for example, the company’s record of compliance with particular environmental regulations. In this case
ที ่1 : บทน า โดยท่ีส านกังานมีนโยบายส่งเสริมบทบาทการปฏิบติังานของหน่วยงานก ากบัดูแลการ ปฏิบติังานของผูป้ระกอบธุรกิจในตลาดทุน (“compliance”) เพื่อยกระดบัความส าคญัของวชิาชีพดงักล่าว และท่ีผา่นมาส า
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re
mutual fund in compliance with the accounting standards prescribed by related regulations on accounting. The financial reports must be audited and given opinions by the auditors who has been approved by
prescribing guidelines for compliance with the Notification of the Securities and Exchange Re: Rules, Conditions and Procedures in Filing of Annual Financial Statements and Preparation of Reports of the Stock
compliance with the Notification on Connected Transactions. The Board of Directors resolved to propose the matter at the Extraordinary General Meeting of Shareholders in order to seek confirmation from the
standards, and corporate reform to streamline procedures and reduce compliance cost.SEC Secretary-General Rapee Sucharitakul said: ?Over the years, the investing public has experienced certain limitations