enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial reporting disclosed to the public. The SEC requires the auditor in the capital market to
auditor supervision as the auditor's role of independent professional is fundamental to investor confidence in publicly disclosed corporate financial information. The Securities and Exchange Act of 1992
confidence and prevent recurrence of the problematic issue. In response to the said incidents, the International Organization of Securities Commissions (IOSCO) issued “Principle of Auditor Oversight," to its
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
Questionnaire) กระบวนการประเมินความเสี่ยงของสำนักงาน (The Firm's Risk Assessment Process) การกำกับดูแลและผู้นำ (Governance and Leadership) ข้อกำหนดด้านจรรยาบรรณที่เกี่ยวข้อง (Relevant Ethical Requirements) การตอบ
Confidence". Website 5stepstoinvest.com (Thai Version) Facebook 5stepstoinvest (Thai Version) Regulatory Summary Qualifications 1. A juristic person with a license for operating securities or
Confidence". Website 5stepstoinvest.com (Thai Version) Facebook 5stepstoinvest (Thai Version) Regulatory Summary Qualifications 1. A juristic person with a license for operating securities or
such courses before the effective date of the notification can count as a refresher course under the condition); A course on “Strategic Financial Leadership Beyond Accounting: Strategies to improve
สามารถนับชั่วโมงการอบรมในหลักสูตรดังกล่าวที่มีการจัดอบรมก่อนวันที่ประกาศมีผลใช้บังคับ) หลักสูตร Strategic Financial Leadership Beyond Accounting: Strategies to improve performance and financial management
of investor's confidence to securities business industry. Clause 7 Securities company having major shareholder with disqualified characters specified in Clause 4, shall, in writing, notify the SEC