of trust and confidence in the Thai capital market. This goes beyond the SEC having effective supervision, concrete law enforcement, swift detection of abnormalities, and prompt imposition of
developing existing software to accommodate digital asset trading surveillance, detect anomalies, identify demeanors and gather and prove evidence, and to promote the use of class action and establish an
each provision of the IOSCO CRA Code is of conduct deviate from the IOSCO CRA Code and how such deviations nonetheless achieve the objectives laid out in the IOSCO CRA Code and the IOSCO CRA Principles
approvals to car dealers when they had planned to rely on such controls. Adaptation of audit procedures due to deviations detected After detecting deviations from controls upon which the auditors intend to
whether a CRA has satisfactorily implemented the IOSCO CRA Code, CRAs should disclose how each provision of the IOSCO CRA Code is of conduct deviate from the IOSCO CRA Code and how such deviations
for which member: current member: new member: including member who has not paid money to the fund (b) in cases where abnormalities related to the amount of money payable to the fund have been detected
to identify each transaction that it is paid for which member: current member: new member: including member who has not paid money to the fund (b) in cases where abnormalities related to the amount of
Securities and Exchange Commission 10,13-16 The GPF Witthayu Building 93/1 Wireless Road, Lumpini, Pathumwan, Bangkok 10330. Tel: 0-2695-9999, 0-2263-6499 Fax: 0-2256-7711 www.sec.or.th. Securities and Exchange Commission Independent Audit Inspection Activities Report Independent Audit Inspection Activities Report for the 1st Cycle 1 October 2010 - 31 December 2012 Introduction Quality Assurance Review Panel (“QARP”) First step with confidence Activities for audit quality enhancement Summary of...
Activity report 2015 En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2015 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2015 Contents Executive Summary ....................................................... Quality Assurance Review Panel ................................... Activities for Enhancing Audit Quality ............................ Summary of Audit Inspection Results A. Firm Level ............................................................ B. Engagement Level ..........................
Investor Strategies for Incorporating ESG Considerations into Corporate Interactions www.blackrock.com www.ceres.org Century21st Engagement Investor Strategies for Incorporating ESG Considerations into Corporate Interactions [ 5 ] FOREWORD The Value of Our Voice ......................................................................................................................................... 1 How ESG Megatrends Are Shaping Valuation ...........................................................