advice to audit firms outside the capital market on how to prepare for entry into the capital market. Additionally, the SEC organized educational activities for university students in the Accounting field
improved the monitoring process to be coherent with the TSQC 1 and the SEC’s observation. However, in 2017 we still identified the findings on the monitoring process in some audit firms as follows: 1. The
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
investment decisions and engage in active ongoing monitoring of investee companies. 4. Apply enhanced monitoring of and engagement with the investee companies if monitoring pursuant to (3) is considered
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
สินทรัพย์ ดิจิทัล ระบบซื้อขายสินทรัพย์ดจิิทัล ระบบสำหรับการซือ้ขาย ระบบงานที่ช่วยเสริมสร้างและรักษา กลไกการทำงานของระบบซือ้ขาย ให้มีความเป็นระเบียบเรียบร้อย (market surveillance) ระบบชำระราคาและส่งมอบ
minutes of the Board meetings in compliance with the corporate governance principles. This includes the monitoring of executions of the Board resolutions and orders. In 2006, there were 13 Board meetings
collaboration of audit firm leaders, auditors and personnel. Nevertheless, some audit firms have yet to remove deficiencies in engagement performance and monitoring while they are revising their audit manual and
Financial Statement Surveillance Workshop to be a platform for sharing of knowledge and experience from conducting reviews of audited financial statements. ACRA and other organizations, such as International