Activity_Report_62En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 Contents Executive Summary 02 42 45 19 30 04 08 14 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results B. Engagement-Level A. Firm-Level 38 Root Cause Analysis Framework and Focuses in 2019 Essential Statistics Auditing Landscape in Thailand Executive Summary The capital market plays an important role in d...
sustainably in harmony with the environment in every dimension. SEC Secretary-General Rapee Sucharitakul said “SEC is committed to strengthening the capital market for growth and sustainable development by
flexibility and coverage of the Exchange’s listing criteria for general companies which formerly took into account primarily the companies’ track records on net profit from operation. With these adjustments
business.? The objectives of the rule-amendment are to promote flexibility and prevent conflict of interest. The proposal has undergone series of discussions with various stakeholders including securities
, and to increase intermediaries? flexibility and efficiency in providing investment services conducive to fair competition with foreign counterparts.The hearing covers draft rules on provision of
comments gathered earlier from the hearing on the guiding principles in July this year, and made further revisions to enhance flexibility and appropriateness in practice.Essentially, the rules would revise
derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have
services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
types of mutual funds. SEC therefore has amended the rules governing money market funds to enhance flexibility of asset management companies in managing funds and enable them to response to the needs of