informed and to pay attention to the importance of personal data protection in order to boost public confidence and trustworthiness in Thai capital market. In addition, SEC has prepared our organization

overseen by experts, all aimed at creating an illusion of trustworthiness. In addition, the SEC continues to prevent investment scams in various manners, as follows:           (1) Posting on the

Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and

Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and

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

monitor the effectiveness. However, there is still room for improvement for Thai listed companies. For instance, there should be a system to review and monitor how the corporate strategies are implemented

, company’s compliance unit must monitor and examine all advertisements and prepare monthly report on advertising oversight for board of directors’ approval. The monthly reports are then compiled and submitted

different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor

Activity report 2015 En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2015 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2015 Contents Executive Summary ....................................................... Quality Assurance Review Panel ................................... Activities for Enhancing Audit Quality ............................ Summary of Audit Inspection Results A. Firm Level ............................................................ B. Engagement Level ..........................

timely manner prior to deterioration of customers’ debt servicing capability and overall credit quality of KBank.  Monitor customers’ credit line utilization and customer status via early warning signs