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
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
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
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
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
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
. Transactions with the trustee A trustee shall not perform any actions against the interests of the REITs, nor actions which will cause the trustee to lose independence except for the following: being
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