believes that the audit firms are in the best position to determine the real root causes of their deficiencies and to implement effective remediation plans The following section provides key inspection

Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with

To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring

statutory authority that create long-term benefits for stakeholders with due consideration of public policy and matters related to the economy, society and the environment. (3) Determine the necessary and

client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities trading for the client on time priority basis unless the order

company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended transaction of the client does

any of the ASEAN countries Non-ASEAN Issuer means an Issuer other than an ASEAN Issuer Baseline means a fixed point of reference that is used for comparison to determine the measurement of the

. Clause 21. A securities company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended

necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such requirement according to the principles of the Notification of

define the roles and responsibilities of management and monitor management’s proper performance of its duties.   Guidelines 1.4.1  The board should adopt a written policy (such as a charter) that clearly