interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
investment decisions and engage in active ongoing monitoring of investee companies. 4. Apply enhanced monitoring of and engagement with the investee companies if monitoring pursuant to (3) is considered
and Audit Oversight > Auditor Supervision > Related Rules and Regulations Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor supervision Relate Rules and
the audit quality control system, and closely monitored the COVID-19 pandemic situation to adjust the oversight approach and communication with stakeholders to meet the changing situation. In so doing
importance of prevention and suppression of crimes, from the beginning to the end of the process, for market oversight in the digital age. In this respect, SEC has set an enforcement direction that focuses
compliance with international standard sustainable investment criteria, and subject to stricter oversight than other regular mutual funds. Once established, Thai ESG Funds must set an investment policy and
monitoring process and remediation plan. Looking ahead, the SEC will keep up the momentum of strengthening and developing stakeholders. In 2019, we will organize educating sessions on the impending financial
regulator for Thai capital market, as evidenced by an endorsement from the European Commission (“EC”) given to the SEC in June 2013 to acknowledge the SEC’s audit oversight system as being equivalent to that
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Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a