judgement eventually. Due to the Thai legal system, the Courts of Justice are classified into three levels, namely: the Courts of First Instance, the Courts of Appeal, and the Supreme Court. Moreover, the
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
term of the quality of the audit oversight system ? Yes No Is the audit oversight authority you registered with in the country that was assessed under the FSAP and received at least “Broadly Implemented
upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the
. Apart from oversight of individual auditor quality, the SEC has established an effective supervisory model of independent oversight to monitor audit firms? quality assurance system since 2010. For more
. Apart from oversight of individual auditor quality, the SEC has established an effective supervisory model of independent oversight to monitor audit firms? quality assurance system since 2010. For more
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
-system for the multiplication of such social enterprises, it also emphasizes the building of potential for social enterprises, the spread of awareness for the public to understand more about social
representatives from the Stock Exchange of Thailand and other government and private agencies, was established to consider the relevant ecological system, in order to identify problems and difficulties and to
information was disclosed to the public through the SET Information Transmission System on 30 May 2016. The SEC investigation also revealed that (7) Mr. Anurag Baheti, Senior Manager of PTL Finance and