all 5 steps Pre-Listing & Listing Trade Surveillance Ongoing Obligations Escalation to Public Delisting1 2 3 4 5 Revise qualifications of companies to be listed on SET and mai Require consistent
กระบวนการ Trade Surveillance กระบวนการ Ongoing Obligations กระบวนการ Escalation to Public กระบวนการ Delisting1 2 3 4 5 ปรับคุณสมบัติบริษัทที่จะเข้า จดทะเบียนทั้งในตลาด SET และ mai ปรับให้การเข้าจดทะเบียน ไม่
these sectors may spill over to the financial sector • Impacts on companies operating in related industries 3. High Risk Industries • Retail: impact of digital disruption (or e-commerce). • Insurance
elements of the financial reporting ecosystem, from better education and training to more rigorous monitoring and enforcement. And it is only when the appropriate processes are in place and the people
monitoring process and remediation plan. Looking ahead, the SEC will keep up the momentum of strengthening and developing stakeholders. In 2019, we will organize educating sessions on the impending financial
efficient and effective monitoring process. Along the same line, the inspection results of individual engagements showed promising improvement of audit quality in the capital market, as reflected in the
Accountancy, Thammasat University Bachelor of Commerce, Thammasat University 3. Prof. Viroj Lowhaphandu Position: Advisor to Board of Directors, Central Plaza Hotel Public Company Limited Honorary Member
inspection results in the 3 inspection cycle (2017-2018); the score in each element of the quality control system of most audit firms was higher than that during the 2 cycle, notably the ‘monitoring’ element
conflicts of interest and prioritise advancing the best interest of clients. Principle 3: Make informed investment decisions and engage in active ongoing monitoring of investee companies. Principle 4: Apply
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account