suspects the investors of involvement in an offense of money laundering or financial support to terrorist. The assets are seized or sequestered by the authority. (8) The SEC is empowered to instruct the
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out
a quantity and complexity of transactions that are sufficient for demonstrating knowledge and capacity of the auditor and audit engagement quality; and - having cumulatively performed audit duties
company must consider possible impacts on the unitholders. (3) A resolution of the unitholders, pursuant to rules specified in the scheme and the commitment, is obtained. (4) In requesting a resolution
particularly address audit quality control at both firm and individual engagement level, which are summarized as follows: 2.1 Regulatory Summary of Approved Auditor in Capital Market 2.2 List of SEC
documents via the SEC website. The required documents are details of the mutual fund scheme, a draft of prospectus, a draft of commitment and a draft of contract on the appointment of fund supervisor. The SEC
https://www.sec.or.th/EN/Pages/LawandRegulations/AuditorAccount.aspx English (United States) AuditorQualityAssuranceReview also a team of knowledgeable and competent engagement partner and audit staff