Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
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were sufficient and effective as a quality control measure. In today’s complex business environment and with even more complicated business transactions, sufficient supervision by highly experienced
permissible products are more complicated, risky and similar to those AIs have been allowed to invest domestically such as unrated bond and foreign sukuk. Moreover, all investors will have more investment
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
Phusitphoykai 04 Activities for Enhancing Audit Quality In our continued efforts to improve the quality of financial reporting of the listed companies in the Stock Exchange of Thailand (SET), the SEC, in
and investors to the table, but evolve over time as methods and reporting practices improve. For example, criteria that involve project-specific impact assessments, although the most rigorous, are