because the compliance unit is authorized to monitor staff operations according to the relevant rules and regulations, including complaint handling, coordination and reporting to the SEC in case of matters
domestic authorities to exchange information and discuss development and monitor systemic risks of Thailand's financial system. Such cooperation is conducted under three Regulators Working Groups, comprising
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
any disgraceful record, and must comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with
monitor the effectiveness of the company’s risk management. 6.1.7 The board has to ensure and monitor that the company complies with relevant and applicable law and standards, whether domestic
responsibilities? 5 Does the firm have responses to quality risks to monitor the workload and availability of engagement partners and audit staff? If yes, please describe. 6 How does the firm manage planning
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
wrongdoers while allowing victims to monitor the progress of issue solutions at every step.” Mrs. Chavinda Hanratanakool, Member of the Board of Directors, the Federation of Thai Capital Market Organizations