Providing Compliance Unit of an Intermediary
Providing Compliance Unit of an Intermediary
Bangkok, July 8, 2016 ? The SEC Independent Audit Inspection Activities Reports for the second-cycle period during 2013-2015 have shown significant progress in the quality control system of audit
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with
Special Extension for Approved Status of Auditor, Financial Advisor and Compliance
การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance
inspection cycle (2016 to 2018), audit firms in the capital market established and maintained a system of quality control as required by the Thai Standard on Quality Control (“TSQC 1”). The majority of audit
คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)
from the first inspection cycle (2010-2012) to 2019, the first year of the 4th inspection cycle (2019-2021), showed promising overall improvement despite the SEC’s more intensive inspection in several
and Exchange Commission Independent Audit Inspection Activities Report Independent Audit Inspection Activities Report for the 1st Cycle 1 October 2010 - 31 December 2012 Introduction Quality Assurance