financial institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] o Reviewing and modify updatable by having a risk
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
are specific to each application. These controls focus at the business process level and are deployed on the processing of transactions for each application to improve the integrity of accounting
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
issuing this Notification is that it deems appropriate to modify the qualifications of applicants for derivatives business license to offer opportunity to business operators with proper qualifications and
issuing this Notification is that it deems appropriate to modify the qualifications of applicants for derivatives business license to offer opportunity to business operators with proper qualifications and
will simultaneously improve the other elements’ effectiveness. Determined to solidify financial reporting and audit quality, the SEC aims to strengthen all elements of TSQC1 and has, therefore, raised
. Notified this 5th day of November 2008. (Mr. Vijit Supinit) Chairman Securities and Exchange Commission Remarks: The reason for issuing this Notification is that it deems appropriate to modify the
. Notified this 5th day of November 2008. (Mr. Vijit Supinit) Chairman Securities and Exchange Commission Remarks: The reason for issuing this Notification is that it deems appropriate to modify the
-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to improve audit quality Executive summary Contents Quality Assurance Review Panel (“QARP”) Significant