the correctness, completeness and trustworthiness of the financial reports of the company. Opinions concerning the adequacy of the company’s internal control system. Opinions concerning the
has carried out various undertakings in preserving the trustworthiness of financial reporting system and protecting investors. With respect to audit quality inspection, the results showed that in the 3
emphasis on, and strive to improve, the quality control in every element on a continued basis. This will help to promote audit quality and build trustworthiness of the financial reporting system of the Thai
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
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
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
incurred is monetary (loss of benefits that should have been gained or increase of cost or expense, for instance) or non-monetary (adverse impact to market or business trustworthiness; (3) other relevant
control system; (2) reviewing the financial report and financial information of the Office; (3) coordinating with the Office of the Auditor General of Thailand in the matter of auditing the financial
: 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