control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the

financial reporting system and promote sustainable growth of the capital market. Regarding the supervision of audit quality, the SEC found that the inspection results of audit firms’ quality control system

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

return continuation in the short term Low risk Liquidity-constrainted investors hold leveraged positions in low-risk assets which they may have to sell in bad times when liquidity constraint become binding

: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No

Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the

, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the

ของรายงานทางการ เงินที่จัดทําผา่นโปรแกรมที่บริษทัใช้ • ผู้สอบบัญชีประเมินระดับการใช้คอมพิวเตอร์ของบริษัทฯว่าอยู่ในระดับสูง อีกทั้ง ประเมินผล general control และ application control โดยการใช้ IT control

Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks

the financial constraint which lead to more flexible position of the working capital. The backlog securing of company, however, depends on the result of bidding process and the facilities support from