-central utility function, an intermediary shall supervise the outsourcing at least in the following matters: (1) the appropriateness of the operation of the service provider shall be monitored and reviewed
appropriateness of audit evidence Incomplete documentation of the audit procedures performed and audit evidence obtained Specific observations for the information system: Due to the lack of evidence, it became
association registered under Thai law having the purpose to regulate and supervise members for practicing profession as an appraiser to comply with rules, standards and ethics regarding appraisal profession
verify the appropriateness and evaluate both the ethical risks and the ability to perform work of the staff. Nonetheless, the SEC encourages the firm to set out the policies that limit its staffs’ capacity
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
Securities and Exchange Act B.E. 2535, with a mission to develop and supervise the Thai Capital Market to ensure efficiency, fairness, transparency, and integrity. In order to maintain fairness in the Capital
stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication and service
September 2013; “software program” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “IT assets” means