Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For more information, please contact us at: Securities and Exchange Commission,Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel : +66 2 263 6082 or +66 2 263 6218 e-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to...
other institutional investors to oversee the investees, encourage them to seek solutions or make changes based on good corporate governance principles to create long-term benefits rather than short-term
to serve in the board of directors to monitor and supervise the company’s management on their behalf. To establish a circle of trust between the shareholders and the company, a corporate governance
to serve in the board of directors to monitor and supervise the company’s management on their behalf. To establish a circle of trust between the shareholders and the company, a corporate governance
to serve in the board of directors to monitor and supervise the company’s management on their behalf. To establish a circle of trust between the shareholders and the company, a corporate governance
to serve in the board of directors to monitor and supervise the company’s management on their behalf. To establish a circle of trust between the shareholders and the company, a corporate governance
Under the SEA, the SEC has the duty to promote, develop and supervise the Thai capital market to ensure reliability, transparency and fairness for all parties concerned. In fulfilling this mission, the
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
information of such mutual fund. The Thai AMC is required to monitor the Thai domiciled fund on an on-going basis and oversee that the Thai domiciled fund maintains the qualifications of an MRF-eligible master
Activity Report 2016_En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 Executive Summary...................02 Quality Assurance Review Panel................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause Analysis...................42 Framework and Focuses in 2017...................44 Essential St...