will regularly review and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the

For the purpose of considering an application for approval as a foreign auditor in the Capital Market for Mr./Mrs./Miss …………………………………………... (applicant’s name) by the Securities and Exchange Commission

renewal of an applicant as a registered auditor, and (b) regularly review or inspect the quality of work of the registered auditors and their audit firms in accordance with International Standards on

Thailand: - (a) registration and renewal of an applicant as a registered auditor, and (b) regularly review or inspect the quality of work of the registered auditors and their audit firms in accordance with

suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of

) 8.1 Companies should arrange a training and communication on the BCP to relevant persons, either inside or outside, regularly, as well as shall test the BCP to be in line with an actual situation

Section 34(2) of the Derivatives Act B.E. 2546 (2003) which contains certain provisions in relation to restriction of rights and liberties of persons which Section 29, in conjunction with Section 33

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

balance, and shall confirm the transfer of money or assets in and out of the fund. There shall be system to issue and send the reports on asset flow of the fund to the clients regularly and in appropriate

criteria: (1) establish conditions and controls relating to information security in an agreement signed by both parties; (2) monitor, evaluate, review and audit service delivery of the outsourcee regularly