Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
Assurance Review Panel (“QARP”) 5 02 Activities for enhancing audit quality 10 03 Summary of inspection results 15 A. Firm level 16 B. Engagement level 28 04 Root cause analysis 38 05 Our focus for 2015 41 06
and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business
Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business with honesty, fairness and
....................................................... Quality Assurance Review Panel ................................... Activities for Enhancing Audit Quality ............................ Summary of Audit Inspection Results A. Firm Level
(Internal) SEC Classification : ใช้ภายใน (Internal) ความส าคัญ บทบาท และ โอกาสของผู้สอบบัญชี 10 ESG strategy ESG-in-process ESG assurance governance & control SEC Classification : ใชภ้ายใน (Internal) SEC
, and (c) continuing education, quality assurance and investigative and disciplinary systems. 5. The system of public oversight shall have the right, where necessary, to conduct investigations in relation
honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
respective Principles. These Guidelines for External Reviews aim to promote best practice. They complement the Principles and other existing relevant guidance such as the Assurance Framework for the Climate
of Standards and complementary tools, including a glossary, guidance materials, assurance framework and training for different actors across the capital and investment spectrum. The Standards build on