that those personnel must be equipped with knowledge, capability and approved by the SEC. The business operators must apply necessary assessment procedures to ensure that their investment consultants
(2021), for instance, vulnerability assessment and penetration test; (6) Strengthen the third-party management section by expanding the scope to include service providers or business partners having a
Member, Federation of Accounting Professions of Thailand under the Royal Patronage of His Majesty the King • Chairman, Tax Auditor Examination Committee, Revenue Department • Specialist in Corporate
Activity_Report_62En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 Contents Executive Summary 02 42 45 19 30 04 08 14 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results B. Engagement-Level A. Firm-Level 38 Root Cause Analysis Framework and Focuses in 2019 Essential Statistics Auditing Landscape in Thailand Executive Summary The capital market plays an important role in d...
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
line with limiting global warming in line with the goals of the Paris Agreement and support the climate resilience of the asset. The Hydropower Criteria specifically then screen projects to 1) test their
digital asset investments, and taking pre-investment self-assessment. Initially, the main “SEC Crypto Academy” Courses are: (1) Introduction for beginners: Introducing fundamental knowledge and correct
assessment. Protecting Minority Investors The SEC office has involved and supported in the Protection of Minority Investors Topic along with the Department of Business Development, the Ministry of
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial