company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
reporting process, ensure the company has efficient internal control system, monitor the performance of the company to ensure compliance with the laws and regulations, review transaction that may have
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For more information, please contact us at: Securities and Exchange Commission,Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel : +66 2 263 6082 or +66 2 263 6218 e-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to...
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...
financial activity in the digital realm. In response to these challenges, each commercial bank prioritizes the continual development of cyber security policy, processes and systems in line with
Exchange Act B.E. 2535 (1992), with the main duties to promote, develop and supervise the Thai capital market. In developing a sustainable capital market, the SEC has set a vision to embrace changes and
intermediary , in order to monitor the compliance with this Notification by the intermediary . In this regard, the SEC Office shall determine such period according to the following scopes: (a) in case of urgent
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary, in order to monitor the compliance with this