their audit work as a signing partner; and (4) allow capital market auditors who are unable to maintain their qualifications as a leader or a partner of an audit firm or an equivalent position to
integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
audit firms in the capital market to disclose firm inspection reports on SEC website SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit
the quality risks in Acceptance and Continuance of Client Relationships and Specific Engagement element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1
แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and
แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and
คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)
element that the firm considers as high risk? Please describe the relevant responses to these risks A.1 Audit methodology and procedures: Firm's Reference /Guidance Notes Description 1 Does the firm use
, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana
investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the