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...
integrity of the prospective client was in doubt. Hence, engagements with significant risks, including the fraud risks, could mistakenly be identified as acceptable or tolerable. There were occasionally
under its responsibility Ensure that units offered for sale exclusively for high net worth investors are not allocated to retail investors Oversee to ensure that the trust is not becoming a private trust
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
category is a pooled fund contest.The AOP will appoint an ad-hoc contest committee to oversee the application and the documents, any qualified party will advance to the interview round. The total scores
, (2) single funds of private companies, and (3) pooled fund of asset management companies.The AOP will appoint an ad-hoc contest committee to oversee the application and the documents, any qualified
Ministers ' Process.In June 2016, Australia, Japan, Republic of Korea, New Zealand and Thailand entered into a memorandum of co-operation (MoC). The JC was established under the MoC to oversee the effective
business operators who have expertise in the investment products of interest, the services in which Thai business operators also have responsibilities to oversee the appropriateness of foreign business
basis and to assign a responsible entity to oversee the matter to ensure that they can provide https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9323 SEC and Thai Digital Asset Association in
) record the ownership or right over the trust property, incomes, expenses and debts of the trust and any relating accounts of the trust; (4) oversee and collect interest of the trust; (5 https