investment decisions and engage in active ongoing monitoring of investee companies. 4. Apply enhanced monitoring of and engagement with the investee companies if monitoring pursuant to (3) is considered
efficient and effective monitoring process. Along the same line, the inspection results of individual engagements showed promising improvement of audit quality in the capital market, as reflected in the
Code Principles 1-7 6-10 9 Financial Reporting Council 1 Stewardship and the Code 1. Stewardship aims to promote the long term success of companies in such a way that the ultimate providers of capital
performance and monitoring, it is with limited impact as the audit clients of these firms only accounted for 10 percent of total market capitalization, as of the end of 2015. Deficiencies during this second
through which the objectives of the company are set, and the means of attaining those objectives and monitoring performance are determined. The Principles do not intend to prejudice or second-guess the
fast-changing and globalising world, information material to investor decision-making is becoming increasingly diverse and dynamic. Long-term success in managing a business in today’s complex economic
of the monitoring and root cause analysis on such deficiencies, remediation plan preparation and the follow-up of the remediation plan. The SEC will continue to assist audit firms and follow up on
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
operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
Bangkok, March 14, 2014 ? The SEC organized an event to announce the success of ?Pride of the Provinces? Project, joined by 219 companies from 39 provinces since its launch in 2011. Last night, 16