Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
) having a quality control system sufficient and reliable to continuously supervise its auditors to comply with professional standards, provided that such quality control system shall be in accordance with
necessary to put in place an effective handling procedure. Each organization should establish a clear procedure and cyber threat handling guidelines. We hope this drill will be a beginning for capital market
control system for goals and objectives achievement, compliance with applicable laws and regulations, safeguarding of the assets from frauds and damage, and preparing reliable accounts and reports. The
is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it
guideline and description about the risk factors and the criteria to risk scoring. This will encourage the assessor to better document the conclusion of risk assessment procedure and will also standardize the
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
2015 and 2016 were restated because fictitious revenue had been recorded. The SEC reviewed Patamavan’s engagement performance as NMG’s auditor and found that she failed to obtain reliable evidence that
in the Thai capital market also resulted in higher level due to reliable financial reports of listed firms, helping facilitate those firms? overseas fund raising and boost competitive edge of capital
PowerPoint Presentation Procedure for Investigation and Enforcement Measures Sources of Information to stimulate enforcement actions The SEC Office’s preliminary consideration Has a sign of any