Audit Oversight Supporting Accounting Profession to be in line with International Standards Auditor Supervision Monitoring on Financial Report of Business in Capital Market Related Web Links Mutual Fund
regulator for Thai capital market, as evidenced by an endorsement from the European Commission (“EC”) given to the SEC in June 2013 to acknowledge the SEC’s audit oversight system as being equivalent to that
collaboration of audit firm leaders, auditors and personnel. Nevertheless, some audit firms have yet to remove deficiencies in engagement performance and monitoring while they are revising their audit manual and
(SEC) is closely monitoring relevant development and, for the time being, has no plan to allow spot bitcoin ETFs in Thailand. The SEC takes note of potential benefits of spot bitcoin ETFs as approved in
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
SHARE : SEC enhances real estate-backed ICO oversight to strengthen investor protection mechanisms Wednesday 24 February 2021 | No. 36 / 2021 Bangkok, 24 February 2021 – The Securities and Exchange
importance of prevention and suppression of crimes, from the beginning to the end of the process, for market oversight in the digital age. In this respect, SEC has set an enforcement direction that focuses
out guidelines and put in place a variety of tools such as risk monitoring and management as well as preventive measures such as investor education to help address these issues. There is also a forum
developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from
constant volatility and instability in various ways due in part to the global pandemic of COVID-19 and the fast-paced changes in technology. Thus, it is inevitable for auditors to adjust their methodology to