Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a

Regulations SHARE : Detail Content ​​​​​​​​ Regulations​ ​ ​​ Regulations​​​ ​ Fundraising ​ Market Professionals​​ ​ Financial Reporting and Audit Oversight ​​Mutual Fund​ ​ Business Operators​ ​​Registered

Bangkok, March 26, 2015 ? The SEC recently hosted ?3rd ASEAN Audit Inspection Workshop? and ?2nd ASEAN Financial Statement Surveillance Workshop,? the international audit oversight events, in Bangkok

misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile

and Audit Oversight >   Auditor Supervision Regulations SHARE : Detail Content ​​Financial reporting and audit oversight   ​​​​​​ 2. Auditor Supervision​   The SEC has put its continuing effort on

>   Financial Reporting and Audit Oversight >   Auditor Supervision >   Quality Assurance & Review Regulations SHARE : Detail Content ​​​​​​​​​ ​​​​​​Financial reporting and audit oversight   2. Auditor

first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to

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

renowned international audit firms are invited to share their views and experience concerning current regulatory and oversight issues, challenges and impediments as well as directions of international

and Audit Oversight Mutual Fund Business Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust ​ A Trustee of An Infrastructure Trust Digital Asset Business Operators