PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
substantive analytical procedures and audit sampling. The SEC, therefore, took immediate action by holding a seminar in the mid of 2014 on the topic of “Audit Quality: Audit Sampling and Substantive Analytical
the applicant to clarify, take action or submit additional documents and evidence within the period of time prescribed by the SEC Office. 4 In cases where the applicant does not proceed in accordance
stakeholders, and thus bolstering further confidence of both local and foreign investors in our capital market. Due to the substantial effects of audit quality on the reliability of the available financial
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
international auditing standards, only in the case where such behavior may affect the reliability of the overall Thai capital market. 6 Amended by the Notification of the Office of the Securities and Exchange
technology and innovation strategies. The SEC monitors factors which may affect the reliability and stability of the capital market as a whole, including systemic risk, and collaborates with other financial
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
action that may have an impact on the holders of its securities, as well as restrictions on the exercise of such rights; (3) seeking resolutions and meetings of the holders of depositary receipts; (4
PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished